- Truist (Tampa, FL)
- …and Series 66 licenses. ( Series 63 & 65 in lieu of the Series 66) 6 . Exceptional telephone skills and the ability to appropriately interact with clients ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level registrations: ... the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution and settlement;... Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Wells Fargo (Miami, FL)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Sun City Center, FL)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. +...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or grandfathering cannot be applied. + Series 7 required or willing to obtain within 6 months. + Series 63, 65 and/or 66 as required by state-OR- willing to ... and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... + Investment concepts, practices and procedures used in the securities industry. + Financial markets and products. **Skills:** +...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for… more
- Truist (Jacksonville, FL)
- …of leadership skills and abilities to supervise registered representatives. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 66 ... of initiatives and provides project-related performance evaluations on project resources 6 . Proactively challenge the performance of current systems and processes… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Professional) - Required unless you already hold one of the following qualifying registrations: Series 6 , 7, 17, 37, 38, or principal-level Series 4, ... be able to obtain within 120 days-the following FINRA licenses:_ + SIE ( Securities Industry Essentials) - Required unless exempt or grandfathered. + Series … more