- Charles Schwab (Charlotte, NC)
- …Required 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 ... firm that will challenge you to deepen your wealth management expertise, within a role that allows you to...condition of employment Active and valid FINRA Series 66 license required May be obtained… more
- Charles Schwab (Asheville, NC)
- …- this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 ... with the practice of existing Schwab clients, providing them with wealth management and financial planning advice. Over time, you'll grow your practice holistically… more
- TIAA (Charlotte, NC)
- …Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... Sedentary Work **Career Level** 6IC **Required:** + 2+ years of financial services experience + Series 7 , 66 (or 63 & 65), and Life and Health Insurance … more
- TIAA (Charlotte, NC)
- …Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... **Wealth Client Relationship Manager** Wealth Management Client Relationship Managers at TIAA spend their...**Required:** + 2+ years of financial services experience. + Series 7 , 66 (63 and 65), and… more
- TIAA (Durham, NC)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... **Wealth Management Advisor** Supported with a robust array of...66 **Licenses and Certifications** + Life and Health Insurance License (Resident State) - Multiple Issuers required + Certified… more
- Vanguard (Charlotte, NC)
- …a regulatory license and/or registration (eg FINRA, state, SFC), the SIE, Series 7 and 63/65 or 66 (or equivalent). Certain professional designations may ... take the next step in your financial services relationship management career? Vanguard is seeking passionate and driven individuals...Compliance based on role-specific duties. + The SIE & Series 7 are required prior to starting… more
- Wells Fargo (Charlotte, NC)
- …experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... employee engagement and growth in a branch or a series of branches + Responsible for overall management...18 months of experience functioning as a registered representative, Series 7 , within the five-year period immediately… more
- Wells Fargo (Kannapolis, NC)
- …that may include most Saturdays + Adherence to Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... and Operations group as part of Wealth & Investment Management . Learn more about the career areas and lines...gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA recognized equivalents) + FINRA registration… more
- Wells Fargo (Charlotte, NC)
- …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9/10 and 63 exams or 7 , 9/10 and ... role:** Wells Fargo is seeking a Brokerage Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and… more
