- USAA (Tampa, FL)
- …with Health, Life or Retirement Income. + Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities ... Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits. + Responsible for the implementation and sustainment of seasonal surge strategies through internal and… more
- Fifth Third Bank, NA (Bradenton, FL)
- …with more complex financial profiles. Accountable for sales of full range of securities products and achieve targeted securities fee income goals within assigned ... and external client relationships. + Highly developed knowledge of the securities business, investment products and financial solutions. + Highly developed sales… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations ... of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …develop tactical plans for FCM-related enterprise client and corporate securities review initiatives. Completes assignments with substantial latitude for autonomous ... and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while in alignment with our corporate policies and standards.… more
- Bank of America (Jacksonville, FL)
- …Financial Solutions Advisor (DP)** , your journey begins by obtaining your Securities Industry licenses, where you receive dedicated and personalized classes 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… more
- Truist (Ocala, FL)
- …Assist the Advisor in developing and maintaining a profitable level of securities and insurance sales by executing on opportunities identified through external ... experience. 2. 4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and… more
- Bank of America (Palm Beach, FL)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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 (Jacksonville, FL)
- …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
- MyFlorida (Tallahassee, FL)
- …banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money ... degree from an ABA-accredited law school. + Experience in financial securities , financial services, or financial institutions. + Working experience with the… more