- Wells Fargo (New York, NY)
- …+ 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
- Wells Fargo (New York, NY)
- …& 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 ... Sales teams on all banking related initiatives. **Required Qualifications:** + 6 + years of Wealth Management Banking experience, or equivalent demonstrated through… more
- JPMorgan Chase (New York, NY)
- …excel in a fast-paced, collaborative work environment. + Must possess or obtain FINRA Series 79, Series 63, and Securities Industry Essentials (SIE) licenses ... corporate finance, investment banking, credit, payments, asset management, and securities services. **Job responsibilities:** + Lead client meetings and prepare… more
- JPMorgan Chase (New York, NY)
- …and skills** + 6 + years of financial services experience + Valid and active Securities Industry Essential Series 7 & Series 66 licenses (63/65), or ... lending in a wealth management division across mortgage, margin, and or securities -based lending + Strong partnership and people skills; collaborate with people… more
- Raymond James Financial, Inc. (New York, NY)
- …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 (New York, NY)
- …sales and service. 3. Develop and maintain a profitable level of securities and insurance sales by executing on opportunities identified through external networking ... relationship management strategies to deepen client connections and loyalty. 6 . Properly record transactions and inquiries, and see that...Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of… more
- Guardian Life (New York, NY)
- …with Pershing, Fidelity, or Schwab custodial systems + Securities license preferred ( Series 7 or 6 ) **Location** + Bethlehem, PA or NYC (Hudson Yards) ... Operations Specialist and be a key player on our Park Avenue Securities team! You will help implement flawless strategies with our advanced technologies,… more
- JPMorgan Chase (Brooklyn, NY)
- …or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6 , state registration (including 63 if required), and Life licenses are ... minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- JPMorgan Chase (Brooklyn, NY)
- …or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6 , state registration (including 63 if required), and Life licenses are ... minimum requirements. All unlicensed applicants must obtain their licenses though JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- M&T Bank (Buffalo, NY)
- …Wilmington Advisors @ M&T is a brand name used by LPL representatives to offer securities , advisory and insurance services and is not a separate legal entity. + This ... preventable losses. **Education and Experience Required:** Combined minimum of 6 years' higher education and/or work experience, including a...of 4 years' investment or insurance sales experience FINRA Series 7, 63 and 65 or 66 licenses Pertinent… more