• Advisor Consultant - Alternative Investments

    Nuveen Investments (MI)
    …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series ... specifically within business development in the Alternative Investments space + FINRA Series 7 and Series 63 **Preferred Qualifications** + 7 + years'… more
    Nuveen Investments (07/24/25)
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  • Senior Director, Education Savings Relationship…

    TIAA (KS)
    …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series 6 ... relationship management or consultative sales experience **Preferred Skills:** + FINRA registered, Series 6 or 7 and...Skills:** + FINRA registered, Series 6 or 7 and Series 63 required within 120 days +… more
    TIAA (07/21/25)
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  • Lead Product Manager

    Wells Fargo (Charlotte, NC)
    …Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 24 examinations, or equivalent must be completed within ... needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be...is not eligible for Visa sponsorship **Posting End Date:** 7 Aug 2025 **_*Job posting may come down early… more
    Wells Fargo (08/01/25)
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  • Client Service Associate Senior - Registered…

    City National Bank (New York, NY)
    …and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA Series 24: ... into the National Financial Services (NFSC) system in accordance with applicable FINRA regulations. * Work with CNB colleagues to process employee stock option… more
    City National Bank (07/19/25)
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  • Financial Advisor

    Atria Wealth Solutions (Marion, IN)
    …Medicaid Computer Skills: + Word and Excel + Computer literate Certifications & Licenses: + FINRA Series 7 , 63/65 (or 66) securities licenses (or better) + Life ... + Ensure the Investment Department is in compliance with FINRA . + Maintain advertising and complaint files as required...Maintain advertising and complaint files as required by the FINRA . + Be prepared for compliance audits by the… more
    Atria Wealth Solutions (07/06/25)
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  • Capital Markets Associate - Derivative Products…

    PNC (Charlotte, NC)
    …the company's success. As a Capital Markets Associate - Derivative Products Group ( FINRA ) within PNC's Capital Markets organization, you will be based in Charlotte, ... derivatives product experience preferred Familiarity with ISDA documentation preferred Licensing requirements: Series 7 & 63 or able to obtain SIE, Series 7 &… more
    PNC (07/31/25)
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  • Lead Compliance Officer - Personal Account Dealing…

    Wells Fargo (Charlotte, NC)
    …of the following: work experience, training, military experience, education + Must possess FINRA Series 7 securities license within 12 months of accepting role ... + Familiarity with Personal Account Dealing programs. + Strong knowledge of SEC, FINRA , and other relevant regulatory frameworks as it pertains to Personal Account… more
    Wells Fargo (07/31/25)
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  • Investment Advisor

    Navy Federal Credit Union (Cherry Hill, NJ)
    …and/or internal audits. + Perform other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series 63/65 or 66 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account… more
    Navy Federal Credit Union (07/29/25)
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  • Financial Advisor

    Navy Federal Credit Union (Matthews, NC)
    …to generate GDC based on defined thresholds within a specified period of time + FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. ... execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare… more
    Navy Federal Credit Union (07/29/25)
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  • Brokerage Client Service Associate

    Truist (Columbia, MD)
    …10. Ability to obtain FINRA registrations within 365 days - SIE, Series 7 and Series 66. Preferred Qualifications: 1. One to three years of experience in the ... focusing on outbound sales calls. 6. Financial Industry Regulatory Authority ( FINRA ) Series 7 , 66 licenses or actively pursuing these licenses. The annual base… more
    Truist (07/26/25)
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