- 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
- JPMorgan Chase (Chapel Hill, NC)
- …and advice + A valid and active Series 7 + A valid and active Series 66 (63/65) license is required or must be obtained within 60 days of starting in the ... needs. As a Private Client Advisor in Chase Wealth Management , you will offer comprehensive financial planning and advice...and active Life, Health and Long Term Care Insurance license is required or must be obtained within 60… more
- Wells Fargo (Charlotte, NC)
- …demonstrated through work experience, military service, or education. + Successfully completed FINRA Series 7 Series exam to qualify for immediate ... client experience. The ideal candidate will bring deep knowledge of investment management , practice management , and planning strategies to support growth across… more