- CalSTRS (Sacramento, CA)
- …and written communication skills, project management, and knowledge of investment securities . The incumbent is responsible for performing the complex duties ... Branch, you will be required to disclose your personal broker account information and be required to utilize a...information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more
- Thrivent Financial (Costa Mesa, CA)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- JPMorgan Chase (Los Angeles, CA)
- …retirement, and cash flow planning. Knowledge of issues relating to securities -based compensation (restricted stock, employee stock options, performance share units, ... to, financial planning, goals-based investing, financial advisory at a broker -dealer, RIA and/or a private bank, affluent/high-net-worth solutions, and retirement… more
- CalSTRS (Sacramento, CA)
- …position within the Investment Branch, you will be required to disclose your personal broker account information and be required to utilize a personal broker ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- CalSTRS (Sacramento, CA)
- …position within the Investment Branch, you will be required to disclose your personal broker account information and be required to utilize a personal broker ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- CalSTRS (Sacramento, CA)
- …position within the Investment Branch, you will be required to disclose your personal broker account information and be required to utilize a personal broker ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- City National Bank (Los Angeles, CA)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker /Dealer, Investment Banking activities for CNB's Capital Markets, Registered and ... Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements,… more
- Lincoln Financial (Sacramento, CA)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Sacramento, CA)
- …and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more