- City National Bank (Los Angeles, CA)
- …Qualifications** * Minimum 5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * ... work in tandem with an assigned SFA to provide sales and client and colleague service support coverage. The...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Atria Wealth Solutions (Dublin, CA)
- …investment industry experience and/or training. + 3+ years of prior management experience, including sales coaching experience. + Series 7 , 63, 65 (or 66) ... coordinate the preparation of daily, monthly, and annual reports related to sales activities, income, expenses, and referrals. + Assist in preparing annual operating… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …financial wholesaling business, pursue your FINRA SIE, Series 7 and Series 66 licenses, and maximize territorial sales . This is a great entry-level ... FINANCE INDUSTRY - ENTRY LEVEL REGIONAL SALES ASSOCIATE Dunham & Associates Holdings, Inc. and...materials, and hypothetical illustrations. + Study for FINRA SIE, Series 7 and 66 exams (passing exams… more
- Columbia Bank (Irvine, CA)
- …quote information and mutual fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and money market ... Financial Service Sales Assistant Wealth Management Tacoma, Washington Greenwood Village,...investment direction from clients. Series 7 licensed employees provide limited decision-making… more
- T. Rowe Price (San Francisco, CA)
- …experience AND 5+ years of total relevant work experience. + This role requires the FINRA Series 7 and Series 66 licenses. Licenses may be obtained within ... in ways that matter to you . Role Summary The Intermediary Sales Consultant is a sales and relationship partner with external sales professionals with whom… more
- Principal Financial Group (San Francisco, CA)
- …CFA Level I or progress preferred but not required. + FINRA licensing including SIE or equivalent, series 7 and series 63 required within 6 months + Must be ... an Institutional Distribution Analyst/Associate, you will support consultant relations and sales teams in their engagement with institutional plan sponsors and… more
- Kestra Financial (Palo Alto, CA)
- …including long term and time sensitive projects simultaneously. Certificates, Licenses, Registration + Series 7 required. Series 65/ 66 preferred. Education ... a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is...for lead prospecting, database, best practice playbooks, and guided sales application. Training in the building of a vibrant… more
- US Bank (Los Angeles, CA)
- …a dynamic and fast-paced environment. **REQUIREMENTS** + Bachelor's degree with at least 7 years of related sales experience, preferably in the public ... Asset Management, Inc. (USBAM) is currently seeking an **Institutional Sales and Relationship Manager** to join with other team...management, trust or financial services arenas. + Current, active Series 6/ 7 & 63 certifications are desired,… more
- BlackRock (San Francisco, CA)
- …Strong territory management and sales skills, including profiling and resource deployment + NASD Series 7 and 66 (or 63 & 65) required + Clean U-4 + ... Due to our continued phenomenal growth, we are actively seeking client-facing sales professionals with a proven successful track record of managing an assigned… more
- Fifth Third Bank, NA (Los Angeles, CA)
- …and/or Institutional Sales . + Computer/Technical: Securities Industry Essentials (SIE), Series 7 , 63 required. Thorough knowledge of Microsoft suite of ... profitable distribution of fixed income product in assigned territory through sales of primary and secondary market investment products to institutional clients.… more