- Bank of America (Walnut Creek, CA)
- …compliance to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... Merrill Market Client Relationship Manager Walnut Creek, California **To proceed... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Los Angeles, CA)
- …policies and procedures **Key Qualifications for the role:** + Candidates are **required** to currently hold Series 7 AND Series 66 (or Series 63 AND ... Private Wealth Client Relationship Manager Los Angeles, California **To proceed...Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses… more
- Bank of America (San Diego, CA)
- …prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... Merrill Market Client Relationship Manager San Diego, California **To proceed... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… 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); ... Private Client Advisor II Beverly Hills, California **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To… more
- Nuveen Investments (San Francisco, CA)
- …5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... Collateralized Loan Obligation (CLO) Client Portfolio Managers (CPM) plays a vital role...in the asset management industry **Preferred:** + Minimum of 7 years experience in the CLO and/or structured credit… more
- Raymond James Financial, Inc. (San Diego, CA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 63, 65 and/or 66 as ... Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented...and branch office. + Onboards new clients, opens new client accounts and researches client and security… more
- Charles Schwab (Cupertino, 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 ... employees in this role in obtaining and/or holding the Series 7 and 63/66 licenses + Ability...7 and 63/66 licenses + Ability to handle client needs with tact and diplomacy + Outstanding written… more
- JPMorgan Chase (Irvine, CA)
- …solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7 , and FINRA Series 66 (or 63 and 65) are minimum ... At JPMorgan Private Client , we are devoted to providing distinguished experiences...unparalleled expertise. As a Relationship Manager in JPMorgan Private Client , you will nurture and develop high-net-worth client… more
- JPMorgan Chase (Redwood City, CA)
- …and foster team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required or may be obtained within a 60 ... solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you...Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license… more
- JPMorgan Chase (San Francisco, CA)
- The Client Specialist is a sophisticated wealth expert that...7 + years of industry experience and holds the series 7 and 63 licenses. + Proven ... JPMorgan Chase wealth services to best meet the objectives of each client . The Client Specialist provides high level advice and counsel, offers attractive wealth… more