- Umpqua Bank (Irvine, CA)
- …quote information and mutual fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and money market ... investment direction from clients. Series 7 licensed employees provide limited decision-making investment decisions. + Coordinate and assist Financial Advisor(s)… more
- TIAA (Sherman Oaks, CA)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... 66 **Licenses and Certifications** + Life and Health Insurance License (Resident State) - Multiple Issuers required + Certified Financial Planner (CFP) - Certified Financial Planner Board of Standards preferred Or + Chartered Financial Analyst - Level I -… more
- Wells Fargo (Beverly Hills, CA)
- …experience + Knowledge of traditional banking products + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents) **Job Expectations:** ... (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be completed within either a… more
- Atria Wealth Solutions (Dublin, CA)
- …training. + 3+ years of prior management experience, including sales coaching experience. + Series 7 , 63, 65 (or 66) Securities Registrations, and Life Insurance ... licenses are required. + Series 24 or Series 9/10 Securities Registrations equivalent required. + Previous Financial Advisor experience preferred + Advanced… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration, Active ... Series 65 or 66 Registration with state insurance must be acquired within the first six months of hire REQUIRED DISCLOSURE(S) These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not… more
- Nuveen Investments (San Francisco, CA)
- …5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... years of experience in the asset management industry **Preferred:** + Minimum of 7 years experience in the CLO and/or structured credit industry + Bachelor's degree… more
- Charles Schwab (Menlo Park, CA)
- …licensing isn't required for the role, Schwab will support you to become licensed in the Series 7 and 63/66 if that is in line with your career goals. If ... Charles Schwab will support employees in this role in obtaining and/or holding the Series 7 and 63/66 licenses + Ability to handle client needs with tact and… more
- Wells Fargo (Palo Alto, CA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or ... appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within either a… more
- Bank of America (Beverly Hills, CA)
- …+ Builds relationships with internal and external partners and centers of influence Required Qualifications: * Series 7 , 63 and 65 (or Series 7 and 66); ... unlicensed candidates may be considered if willing to obtain licenses within 90 days of start date * 12+ years of private banking and/or complex financial services experience or equivalent financial services/business experience * Ability to drive new business… more
- City National Bank (Los Angeles, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. * CFP… more