- Truist (Wyomissing, PA)
- …anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on ... equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge...products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses (or… more
- Wells Fargo (Philadelphia, PA)
- …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 (Thorndale, PA)
- …+ 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. (Harrisburg, PA)
- …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
- Raymond James Financial, Inc. (Lancaster, PA)
- …FINRA Series 7 and Series 63 or the ability to obtain within six ( 6 ) months of hire. + Series 52 after twelve (12) months of hire. **Travel Required:** ... + Fundamental investment concepts, practices and procedures used in the securities industry. + Fixed Income procedures, regulatory requirements, transactions and… more
- JPMorgan Chase (Warrington, PA)
- …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
- ADP (Coraopolis, PA)
- …+ Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales ... acumen will be considered pending appropriate licensing within the first 45 days of employment + Demonstrated ability to successfully build a network via social platforms + Experience with video platforms **YOU'LL LOVE WORKING HERE BECAUSE YOU CAN:** + Be… more
- Vanguard (Malvern, PA)
- …to investment advisers, broker-dealers and trust services holding retail investor securities . + Ability to work under pressure on multiple tasks concurrently ... will be determined by Compliance based on role-specific duties. ( Series 7, 14, 24 or 65, 66). (must obtain...7, 14, 24 or 65, 66). (must obtain within 6 months if not currently held). + Certified Regulatory… more
- Vanguard (Newtown Square, PA)
- …undergrad/graduate program, granting the eligibility to sit for the CFP(R) exam within 6 months from hire date, required. + Successful completion of Securities ... of the CFP(R) exam highly preferred. + Learning agility to successfully pass the Series 7, and 66 (or equivalent licenses) within the time frame described in… more
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