- Thrivent Financial (Houston, TX)
- …financial advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where ... and variable lines of authority or at tained within 90 days . State securities registered and insurance licensed and appointed in all states that comprise the… more
- Bank of America (Cross Roads, TX)
- …Solutions Advisor Stage I (FSA I)** , your journey begins 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 an… more
- Raymond James Financial, Inc. (El Paso, TX)
- …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
- Charles Schwab (Westlake, TX)
- …partners to ensure timely and accurate settlement of large cash and securities transactions. + Support the implementation and ongoing improvement of trading and ... best practices, collateral management (eligibility, margin, substitution), and asset-backed securities processing. Familiarity with derivatives (eg, interest rate swaps)… more
- Principal Financial Group (Houston, TX)
- …licensing needed for all non-resident states in which business will be conducted. ** Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, ... and/or 66 as required by applicable state law to become IAR with Principal Securities , Inc. + Refer to Principal Advisor Network Licensing/Exam Policy for the time… more
- JPMorgan Chase (Plano, TX)
- …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 ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
- Thrivent Financial (San Antonio, TX)
- …situations). These licenses include: + Resident state Life, Health and Annuity + Securities Industry Essentials + Series 6/63 or 7/66 (7/63 and 65). After completing ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- JPMorgan Chase (Dallas, TX)
- …skills** + 6+ years of financial services experience + Valid and active Securities Industry Essential Series 7 & Series 66 licenses (63/65), or successfully obtain ... lending in a wealth management division across mortgage, margin, and or securities -based lending + Strong partnership and people skills; collaborate with people… more
- MUFG (Irving, TX)
- …reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics 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
- Insight Global (Dallas, TX)
- …program in accordance with the rules and regulations of the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). ... key role in ensuring that the fund's operations comply with applicable federal securities laws, internal policies, and industry best practices. The Deputy CCO will… more
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