- ADP (Dallas, TX)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- Wells Fargo (Houston, TX)
- …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
- Truist (Fort Worth, TX)
- …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 (Rockwall, TX)
- …+ 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
- First Horizon Bank (Houston, TX)
- …with trading and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... manner if licenses are not already held - SIE, Series 7, Series 52 and Series...**About Us** **First Horizon Corp. (NYSE: FHN)** , with $82. 6 billion in assets as of September 30, 2024,… more
- Scotiabank (Houston, TX)
- …skills + BA/BS or international equivalent. Graduate degree desired but not required. + Securities licenses, eg, Series 79 preferred, but not required + Strong ... of approach and information sharing. **What You'll Bring** + A minimum of 6 years of Corporate & Investment Banking, Capital Market and/or Research Compliance, Legal… more
- Wells Fargo (Houston, TX)
- …Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- Principal Financial Group (Dallas, TX)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63). + ... retirement industry experience + Must become an associated person of Principal Securities , Inc + Qualified Plan knowledge and unbundled experience strongly preferred… more
- Truist (Dallas, TX)
- …for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable ... portfolio. Serve as an advocate for clients with the IRM partners. 6 . Establish and maintain mutually beneficial business relationships with external centers of… more
- JPMorgan Chase (Austin, TX)
- …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