- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and experience to manage a variety of litigation matters with a focus on securities matters in FINRA's arbitration forum and in federal and state courts. Will ... federal and state courts. * Advanced principles of banking and finance and securities industry operations. * Advanced financial markets and products. **Skill in:** *… more
- Bank of America (Orlando, FL)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned functional area. + Investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... industry operations. + Financial markets and products. **Skill in** + Preparing operational budgets. + Interpreting and applying policies and procedures. + Interpreting and applying banking regulations + Establishing operational objectives. + Implementing… more
- JPMorgan Chase (Orlando, FL)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of ... FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the… more
- Wells Fargo (Fort Lauderdale, FL)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- Wells Fargo (Miami, FL)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of… more
- Charles Schwab (Naples, FL)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiringFINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during… more
- Bank of America (Jacksonville, FL)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... derivatives across multiple Lines of Business. Key responsibilities include carrying out duties under general supervision and assisting teammates while following established procedures. Anti-Money Laundering (AML) Know Your Customer/Client Due Diligence… more
- TD Bank (New Smyrna Beach, FL)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and… more
- Wells Fargo (Palm Beach, FL)
- …& Company. Our clients have access to Wells Fargo Advisors, referrals from securities -registered bankers in the Consumer Bank and the Wells Fargo Private Bank, our ... elevated experience for high- and ultra-high-net-worth individuals and families. WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services. **Banking, Lending & Trust COE** As part of its vision for a… more