- Citigroup (Hewlett, NY)
- …+ Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration requirements ... skills. + Anticipate the complex financial needs of the client and offer solutions through a wide range of...wide range of products, services and tools based on client profiling. + With the support of product specialists,… more
- HSBC (New York, NY)
- …analysis + Attention to detail and the ability to think creatively to solve problems + Series 7 and 63 licenses, may allow for contingency to obtain Series ... individuals. The role owner will be an exceptional team player and client focused individual. This individual will establish new relationships and manage existing… more
- HSBC (New York, NY)
- …analysis + Attention to detail and the ability to think creatively to solve problems + Series 7 and 66 licenses, may allow for contingency to obtain Series ... HNW individuals. The role owner will be an exceptional team player and client focused individual. This individual will establish new relationships to generate new… more
- BankOnBuffalo (Buffalo, NY)
- …education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or ... customer with a focus on growing and protecting the client 's assets and seek to make a positive impact...or equivalent combination of education and/or experience. Minimum of 7 years' experience in Wealth Management or a related… more
- TD Bank (New York, NY)
- …and to develop innovative solutions + Adaptability, able to manage projects independently + Series 7 and 79 _The salary range listed reflects base compensation ... issuers. + Advises on and reviews rating-specific content for client presentations as well as ratings agency presentations +...degree in Business (Accounting or Finance) or Mathematics/Economics + Series 7 , 79 and 63 + 5-… more
- Truist (New York, NY)
- …individuals with disabilities to perform the essential functions. 1. BA/BS degree 2. Licenses: Series 7 or 79, 63 3. 10-12 years of related work experience ... products 6. Proven ability to develop, nurture and monetize "trusted advisor" client relationships with senior executives 7 . Advanced analytical and technical… more
- Kestra Financial (Wappingers Falls, NY)
- …experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66 preferred: ... services industry and products, and is critical in handling the day-to-day client management on behalf of the Lead Advisor. Essential Duties and Responsibilities… more
- Raymond James Financial, Inc. (Locust Valley, NY)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 63, 65 and/or 66 as ... and institutional clients and prospects. + May participate in client meetings to identify client goals and tolerances. + Assists with developing individualized … 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 ... Dealer firm located in midtown Manhattan, New York. Our client requires 4+ years of Compliance experience at a...trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous +… more
- Neuberger Berman (New York, NY)
- …communication, 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 ... New York office. **Responsibilities** + Support of Alternatives Specialist Team and Client Advisors in all aspects of registered PE fundraising across US financial… more