- BankOnBuffalo (Buffalo, NY)
- …education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or ... in related field or equivalent combination of education and/or experience. Minimum of 7 years' experience in Wealth Management or a related field required. 10+… more
- Wells Fargo (New York, NY)
- …management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** ... + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately… more
- Robert Half Finance & Accounting (New York, NY)
- …policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license is advantageous This role is ... personal trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous + Bachelor's Degree The Compliance… more
- Neuberger Berman (New York, NY)
- …and ability to articulate and present ideas effectively both orally and in written form. + Series 7 , 63 and 65 or Series 7 and 66 licenses required ... within 90 days of employment. Compensation Details The salary range for this role is $140,000-$180,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less… more
- City National Bank (New York, NY)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The SFA ... CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. * CFP… more
- Atria Wealth Solutions (Corning, NY)
- …Pennsylvania, as well as their immediate family members. This role requires a FINRA series 7 licensed candidate who possesses the drive and passion to deliver ... Security, Education planning, Retirement planning, etc.) Required Qualifications: + Active Series 7 , 63/65 (or 66) licenses along with Life, Accident & Health… more
- T. Rowe Price (New York, NY)
- …of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND 66 Preferred: + ... Experience in intermediary markets + Understanding of consultative sales + Passion for capital markets, private markets, and alternative investments + Strong relationship-building and data analysis skills + Proficiency in Excel and Salesforce + Ability to work… more
- Bank of America (Melville, NY)
- …negotiating with a team of bank associates to solve client problems. + Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 & ... 63 license within 180 days of start date) _The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC_ **Shift:** 1st shift (United States of America) **Hours Per Week:** 40… more
- US Bank (New York, NY)
- …experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination ... and applicable state insurance license Preferred Qualifications + Extensive knowledge in financial planning, including but not limited to goals-based planning, asset allocation, retirement planning, and education funding + Extensive knowledge of the securities… more
- Bank of America (New York, NY)
- …+ Takes on a leadership role on the team and within the business community + Series 7 , 63 and 65 (or Series 7 and 66) required; unlicensed candidates ... may be considered if willing to obtain licenses within a standard time frame of 90 days per exam after the first working day in this position **Desired Skills:** * MBA or Post-Graduate Degree preferred * CFP, CPA, CFA, CTFA, CFM or JD a significant plus… more