• Licensed Investment Services Consultant - PNC…

    PNC (NC)
    …service) may be considered. **Education** Associates **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63 & 65) required. Life ... tailored to their individual situation and needs. Investment Licenses 7 and 66 (or 63 and 65) required. **Job...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
    PNC (08/08/25)
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  • Wealth Regional Supervisor

    Truist (Richmond, VA)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... also required. **Preferred Qualifications:** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + … more
    Truist (08/02/25)
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  • Financial Advisor, Truist Investment Services

    Truist (Ocala, FL)
    …degree in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7 , 66 (63 and 65 in lieu of 66) licenses. 3. ... files are correctly completed and maintained to conform to regulatory policies. 7 . Remain knowledgeable of and familiar with all products currently offered by… more
    Truist (07/31/25)
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  • Financial Advisor - Centralized

    Santander US (Staten Island, NY)
    …a superior record of sales achievement while maintaining high ethical standards. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and ... required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement… more
    Santander US (07/26/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Richmond, VA)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses (Series 9&10 can be used ... used in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
    Truist (07/08/25)
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  • Registered Wealth Service Associate

    Citigroup (Jacksonville, FL)
    …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
    Citigroup (07/03/25)
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  • Client Relationship Associate

    Vanguard (Charlotte, NC)
    …requires a Series 7 and 63 regulatory license and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. ... paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63. + Access to learning and development resources to equip, and… more
    Vanguard (06/21/25)
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  • High Net Worth Client Case Representative, Senior…

    Vanguard (Scottsdale, AZ)
    About this job: Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a Client ... enhance the client experience and fulfill investment needs. Qualifications: + Active FINRA Series 7 and 63 licenses. + 1-3 years of experience in financial… more
    Vanguard (06/17/25)
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  • Key Private Bank Associate Relationship Manager

    KeyBank (Columbus, OH)
    …of 3 years of financial services related experience required **Licenses and Certifications** + FINRA 7 and 66 (or 63 & 65) (preferred) **Tactical Skills** + ... Excellent client relationship and superior partnering skills. + Deep knowledge of financial products and banking regulations. + Established excellent written and verbal communication skills. + Experience in working with high-net-worth individuals and their… more
    KeyBank (09/04/25)
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  • Private Bank, Life Insurance Specialist

    JPMorgan Chase (Houston, TX)
    …+ Motivated and independent worker with a sense of urgency and results focused + FINRA 7 and 66 (or 63 & 65) required + Active Life & Health insurance license ... Preferred Qualifications, Skills and Capabilities: + Bachelor's degree strongly preferred or equivalent work experience JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses… more
    JPMorgan Chase (08/08/25)
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