- JPMorgan Chase (Red Bank, NJ)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required) and Life ... tailored to suit their financial needs. As a Private Client Banker in Branch Banking, you are the main...options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures,… more
- TD Bank (Mount Laurel, NJ)
- …+ **Experience writing policies, policy guidance, procedures, and training.** + **FINRA Series 7 and 63 24 preferred.** **Customer Accountabilities:** + Assists ... in the development and implementation of appropriate Compliance policies, processes and controls + Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework +… more
- Bank of America (Red Bank, NJ)
- …registration may result in disciplinary action up to and including termination. Requirements: Either SIE, Series 7 and 66 registrations or SIE, Series 7 , ... advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision...achieve the appropriate designations required for the position. If Series 7 and 66 (or 63 &… more
- City National Bank (Trenton, NJ)
- …in the High Net Worth or Ultra High Net Market markets * 2 + years delivering formal client presentations * FINRA Series 7 and 63 or 66 licenses * Ability to ... accounts and account transfer process. * Handle Independent Financial Advisor and client communication. * Prepare client presentations. * Communicate regularly… more
- Bank of America (Old Bridge, NJ)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... be an advisor - from acquiring, building and managing client relationships to considering a client 's complex...appropriate solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66… more
- Bank of America (Jersey City, NJ)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... be an advisor - from acquiring, building and managing client relationships to considering a client 's complex...appropriate solutions. * **Earn your Security Industry Essentials (SIE), Series 7 and Series 66… more
- Bank of America (Pennington, NJ)
- …with terms and conditions set forth in the offer letter.** **You must achieve your SIE, Series 7 and Series 63 licensing with 240 days of your start ... advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision...successfully obtain your industry licenses (Security Industry Essentials SIE, Series 7 and Series 63… more
- TD Bank (Marlton, NJ)
- …College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA ... job assists in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service...or ability to obtain within scheduled time) + FINRA Series 65 or 66 (Preferred) + FINRA Series… more
- Wells Fargo (Short Hills, NJ)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA ... will work closely with Financial Advisors and Channel Leadership across the Private Client Group and FiNet channels to drive product and platform sales. Learn more… more
- TIAA (Hackensack, NJ)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... a demonstrated ability to uncover the needs of the client . * Giving and receiving constructive feedback are hallmarks...needs of clients and propose solutions that fit each client 's unique scenario, and unwavering work ethic. * Thrives… more