- PNC (San Francisco, CA)
- …New York, NY. This position is primarily based in a location within PNC's footprint. Licensing requirements: Series 7 & 63 or able to obtain SIE, Series 7 ... within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. Derivatives -… more
- Wells Fargo (San Luis Obispo, CA)
- …moderately complex to complex client needs + May study and test for additional licenses ( Series 7 and Series 66) once the minimum licensing requirements are ... financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents)...practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA… more
- Bank of America (San Jose, CA)
- …delegating team work. **Key Qualifications for the role:** + Candidates are **required** to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum 5+ years professional… more
- Bank of America (San Jose, CA)
- …and procedures **Key Qualifications for the role:** + Candidates are **required** to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum 5+ years professional… more
- TIAA (Palo Alto, CA)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... 7IC **Required Qualifications:** + 3+ years of experience in financial services + FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must… more
- Bank of America (Los Angeles, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... client needs and appropriate solutions. * **Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses** (63 & 65 accepted, in lieu… more
- TIAA (Los Angeles, CA)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... *3+ years of wholesaling experience Preferred: * 5+ years of wholesaling experience * FINRA Series 7 & 63 (or combination of 63 & 65); can be obtained within 90… more
- TIAA (Newport Beach, CA)
- …5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... industry specifically within business development in the Alternative Investments space + FINRA Series 7 and Series 63 **Preferred Qualifications** + 7 +… more
- Morgan Stanley (Menlo Park, CA)
- …with Financial Advisors *EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:* *Education and/or Experience* * Active Series 7 (GS), and Series 66 (AG/RA) or ... Series 63 (AG) and Series 65 (RA) * Two or more years of industry experience preferred * High School Diploma/Equivalency * College degree preferred… more
- Morgan Stanley (San Jose, CA)
- …Diploma/Equivalency * College degree preferred * Industry experience is a plus * Willingness to obtain Series 7 (GS), and Series 66 (AG/RA) or Series 63 ... (AG) and Series 65 (RA) _*Knowledge/Skills*_ * Strong computer skills and knowledge of Microsoft Office products * Exceptional writing, interpersonal and client service skills * Detail orientated with superior organizational skills and ability to… more