- Principal Financial Group (Elk Grove, CA)
- …Annuity licensing for all non-resident states in which business will be conducted. ** Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, ... 66 as required by applicable state law to become IAR with Principal Securities , Inc.'s RIA + Refer to Principal Financial Network Licensing/Exam Policy for the… more
- City National Bank (Los Angeles, CA)
- …management and CNS Brokerage statements with clients. Partner with City National Securities (CNS) Investment Officer (IO) to communicate with clients about current ... Strategist designation. * FINRA Series 7 and 63, and 65 or 66 securities licenses and state insurance license preferred. *WHAT'S IN IT FOR YOU?*… more
- Wells Fargo (Los Angeles, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Designated ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Raymond James Financial, Inc. (Walnut Creek, CA)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
- JPMorgan Chase (San Francisco, CA)
- …also useful but not required. Knowledge of issues relating to securities -based compensation (restricted stock, employee stock options, performance share units, ... advisor, or financial planner + Knowledge of issues relating to securities -based compensation (restricted stock, employee stock options, performance share units,… more
- Bank of America (Modesto, CA)
- …Solutions Advisor Stage I (ADP FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated study time for your Securities ... Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor - from acquiring, building and managing client relationships to considering a client's complex financial… more
- MUFG (Los Angeles, CA)
- …deal team environment (with Global Relationship Management, Syndications & MUFG Securities ) supporting Senior Portfolio Managers (PMs) in the development and ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- JPMorgan Chase (Westminster, CA)
- …were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
- PCL Construction (San Diego, CA)
- …insurance. + Evaluates, coordinates, and ensures insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements as ... contracts, and subcontract to mitigate exposure. + Basic knowledge of bid and contract securities and insurance. + Basic knowledge and involvement in the bid and RFP… more
- Southern California Edison (Rosemead, CA)
- …including identifying legal and business risks and recommending solutions. + Securities /Corporate Governance Sr Attorney oversees compliance with federal and state ... securities laws and corporate governance requirements, including identifying legal and business risks and recommending solutions. + Litigation Sr Attorney oversees… more