- TIAA (Durham, NC)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... Mindset, Practice Management Strategy, Prioritizes Effectively, Retirement Planning Selling, Sales , TIAA Products/Services Acumen, Wealth Due Diligence, Wealth Management… more
- City National Bank (Charlotte, NC)
- …or Ultra High Net Market markets * 2 + years delivering formal client presentations * FINRA Series 7 and 63 or 66 licenses * Ability to travel 40-50% of the time ... industry developments. * Ensure that the transition from the sales process to portfolio management is smooth and accurate....for bonus and/or commissions. *Benefits and Perks* At City National , we strive to be the best at whatever… more
- Wells Fargo (Charlotte, NC)
- …seeking an Annuity and Retirement Consultant (Business Growth Strategy Associate) in the National Sales Client Relationship Group as part of Wealth and ... following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7 ) exam to qualify for immediate registration… more
- Truist (Winston Salem, NC)
- …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (If not fully registered, ... knowledge to identify existing client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors… more
- Principal Financial Group (Charlotte, NC)
- …Bachelor's degree or equivalent and 2+ years' experience, preferably in the financial services industry. + SIE, Series 6 or 7 and Series 63 & 65 or Series ... skills. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non- sales positions have the opportunity to participate in a bonus program. … more
- TIAA (Charlotte, NC)
- …+ 2 Years Required; 3 Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... 6IC **Required Qualifications** + 2 years of Brokerage experience + Active FINRA Series 7 & 63 licensures **Additional Responsibilities:** + Facilitate trade… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9/10, and 63 examinations (or FINRA recognized equivalents) ... support to WFA Supervisory Control Specialists as needed + Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and… more
- Principal Financial Group (Charlotte, NC)
- …experience is necessary + FINRA licensing required within 45 days of employment including SIE, Series 7 , Series 63 licenses + Requires ability to work ... You'll Do** This role focuses on the advisor experience by supporting sales and developing mutually profitable advisor relationships. Handle inbound calls from… more
- Wells Fargo (Charlotte, NC)
- …available for transfer upon hire. FINRA recognized equivalents will be accepted.Registration for FINRA Series 7 must be completed within 90 days of hire date if ... capital markets and advisory solutions, including a full complement of sales , trading and research capabilities, to corporate, government and institutional clients.… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9/10, and 63 examinations (or FINRA recognized equivalents) ... from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that… more