- US Bank (Houston, TX)
- …five years of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- JPMorgan Chase (Plano, TX)
- …and executing with urgency. **Required qualifications, capabilities, and skills:** + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A ... valid and active FINRA Series 9/10 (or equivalent) is required + Proven track record leading a team of advisors + Proven ability to recruit, source and attract… more
- Charles Schwab (Westlake, TX)
- …equivalent Financial Planning-related designation + CFP(R) designation is required. + Active and valid FINRA Series 7 license required. + Active and valid ... FINRA Series 63/65 or 66 required + Bachelor's degree required. + Minimum of 5 years financial services experience in addition to 2 years Financial Planning… more
- Charles Schwab (Westlake, TX)
- …financial planning capabilities. **What you have** + CFP(R) designation required + Active and valid FINRA Series 7 license required + Active and valid ... FINRA Series 63/65 or 66 license required + Minimum 3+ years' experience with creating and presenting complex/comprehensive financial plans + In-depth knowledge… more
- Charles Schwab (Westlake, TX)
- …execute the Schwab strategy. Essential skills include: **Required Qualifications:** + **Active and valid FINRA Series 7 and 63 licenses required ** + ... **Active and valid FINRA Series 9/10 license is required ** + Understanding of the financial services industry and/or securities industry + 2+ years in a client… more
- Charles Schwab (Westlake, TX)
- …opportunity in Schwab Wealth Advisory. **What you have** **Required Qualifications** **:** + Active and valid FINRA Series 7 + Active and valid FINRA ... Series 66 (may be obtained with a 120-day COE) + 1-3 years of experience in the financial services industry + Bilingual proficiency in English and Mandarin is required **Preferred Qualifications** **:** + Experience servicing high net worth clients +… more
- Charles Schwab (Austin, TX)
- …Qualifications:** + CFP(R) designation or CFA(R) designation + Bachelor's degree + Active and valid FINRA Series 7 license + _May be obtained with a 120-day ... condition of employment_ + Active and valid FINRA Series 66 license required + _May be obtained with a 120-day condition of employment_ + Five or more years of… more
- First National Bank of Omaha (Plano, TX)
- …or equivalent experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) ... within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies… more
- USAA (Plano, TX)
- …and required maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA ... Series 66 (or 63 and 65) license. + Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. + 4… more
- First National Bank of Omaha (Frisco, TX)
- …or equivalent experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) ... the community. + **Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies… more
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