- Guardian Life (Austin, TX)
- …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- JPMorgan Chase (Webster, TX)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... 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… more
- JPMorgan Chase (San Antonio, TX)
- …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… more
- Guardian Life (Austin, TX)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Thrivent Financial (Dallas, TX)
- …90 days of pay and coaching as you obtain the state insurance and securities licenses necessary for this position . Role Description As a Virtual Financial Advisor ... or obtained within 90 days + Eligibility to be securities registered and insurance licensed in all 50 states...to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors.… more
- Charles Schwab (Austin, TX)
- …trading including mutual funds, equities, ETFs, alternative investments, and non-registered securities . The team is also responsible for participant level rollovers ... between various retirement products, in addition to mass broker -to- broker transfers in-kind. The team enters and reconciles these trading and transfer… more
- Atria Wealth Solutions (Fort Worth, TX)
- …financial and investment vehicles in the market and the tax and securities consequences to clients with particular investments. Attends training and/or completing ... credit union members full-service financial planning and investment advice. CFS is a broker /dealer and RIA with a stable, 25-year track record of serving the… more
- Wells Fargo (Bee Cave, TX)
- …industry experience + Experience in branch office supervision, compliance, broker -dealer governance, sales supervision + Experience partnering with business, ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Thrivent Financial (San Antonio, TX)
- …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
- Thrivent Financial (The Woodlands, TX)
- …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