- Truist (New York, NY)
- …to perform the essential functions. 1. BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for those licensed prior to October ... industry assessments and company-specific research reports. 5. Involvement with corporate client relationships at the highest C- Level (CEO, President, COO, CFO,… more
- TD Bank (Middle Village, NY)
- …degree strongly preferred + 2+ years of providing advice, planning and investment sales + SIE, Series 7 , Series 63 required + Required to have L&H and ... financial goals and making investment recommendations aligned to their client 's goals. The role will serve as the central...Series 66 (or equivalent) or the ability to obtain… more
- Citizens (Rochester, NY)
- …receive training materials, coaching, and dedicated time and support to successfully pass your Series 7 and 66 exams. The Investment Assistant II works closely ... between operations and internal departments, promptly responding to all client service requests, client appointment scheduling and...SIE licenses required + Must be able to obtain Series 7 and 66 within specific timeframe… more
- Truist (New York, NY)
- …performing/utilizing the aforementioned. * Must have passed at least 1 of the following exams: SIE; 7 Top Off (or Series 7 if licensed prior to 2019); ... assessments and company-specific research reports. * Involvement with corporate client relationships at the highest C- Level (CEO, President,...Series 63; Series 87; or Series 86 or FINRA… 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 ... tandem with an assigned SFA to provide sales and client and colleague service support coverage. The SFA maintains...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Bank of America (Melville, NY)
- …with a team of bank associates to solve client problems. + Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 & 63 ... and maintaining profitable relationships, collaborating with teammates, and facilitating client relationships with Product Specialists. Job expectations include having… more
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and Series 63 ... Improve) to deliver on the firm's core values of client -first, integrity, independence and a conservative, long-term view. **We...or Business and a minimum of (5) five to ( 7 ) seven years of experience in Quantitative Development &… more
- Bank of America (Manhasset, NY)
- …of client needs and potential product services recommended Required Qualifications: * Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If you ... them achieve their financial goals. Key responsibilities include triaging client leads, making referrals to business partners based on...that a passing score is received for the missing series within 60 days. * Has at least one… more
- Bank of America (Katonah, NY)
- …of client needs and potential product services recommended **Required Qualifications:** * Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If ... them achieve their financial goals. Key responsibilities include triaging client leads, making referrals to business partners based on...that a passing score is received for the missing series within 60 days. * Has at least one… more
- JPMorgan Chase (New York, NY)
- …and interest in real estate investment management. + Proficiency in PowerPoint and Excel. + Series 7 and Series 3 certifications required (or willingness to ... lead and manage the investor relations team, ensuring the effective execution of client reporting, marketing materials, client questionnaires, and all client … more