• JP Morgan Wealth Management - Market Director…

    JPMorgan Chase (Washington, DC)
    …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and active FINRA ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
    JPMorgan Chase (09/05/25)
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  • Lead Sr. Advisor, PCG Branch Exams

    Raymond James Financial, Inc. (New York, NY)
    …of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7 and 9/10 or 24 expected. + Additional ... and Responsibilities** + Executes the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country. +… more
    Raymond James Financial, Inc. (09/04/25)
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  • Financial Advisor - PNC Investments

    PNC (Springfield, OH)
    …participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Life & Health Insurance required. + Consults ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life… more
    PNC (09/04/25)
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  • Client Success Manager

    T. Rowe Price (Owings Mills, MD)
    …guidance + Acts as a resource for colleagues with less experience Preferred: + FINRA Series 7 & 66 & Chartered Retirement Planning Counselor Designation. ... FINRA Requirements FINRA licenses are required and will be supported for this role. Work Flexibility This role is eligible for hybrid work, with up to one day per… more
    T. Rowe Price (09/02/25)
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  • International Wealth Advisor, Schwab Wealth…

    Charles Schwab (Orlando, FL)
    …+ Bilingual (English & Spanish) + Prior experience supporting international clients + Active FINRA Series 7 license (May be obtained with a 120-day condition of ... or CFA(R) designation holders, verified before hire + Active FINRA Series 66 license (May be obtained within the...Portuguese in reading, writing and speaking is preferred + FINRA Series 9 & 10 licenses preferred + Superior… more
    Charles Schwab (08/30/25)
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  • Financial Consultant

    T. Rowe Price (Colorado Springs, CO)
    …+ 2+ years of total relevant work experience with inbound and/or phone-based sales + FINRA Series 7 and 66 Preferred: + 3+ years of related experience with ... within 180 days of hire) + Certified Financial Planner designation (CFP(R)) FINRA Requirements FINRA licenses are required and will be supported for this role… more
    T. Rowe Price (08/28/25)
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  • Lead Compliance Officer - Macro Sales and Trading…

    Wells Fargo (Charlotte, NC)
    …of complex issues + Critical thinking and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain within twelve months of ... for Visa sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
    Wells Fargo (08/27/25)
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  • Sales Director (In Territory), Pacific Southwest,…

    T. Rowe Price (Baltimore, MD)
    …wholesaling experience in Pacific Southwest territory + DCIO and/or Retirement Plan Sales a must. + FINRA Series 7 and Series 63 Preferred: + CIMA + MBA + CFP + ... TRP products + Comprehensive network of DC Specialist Advisor relationships FINRA Requirements FINRA licenses are required and will be supported for this role.… more
    T. Rowe Price (08/22/25)
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  • Trading Enablement Assistant

    Wells Fargo (Salt Lake City, UT)
    …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to navigate multiple computer system… more
    Wells Fargo (08/21/25)
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  • Capital Markets Compliance Examination Specialist

    CIBC (New York, NY)
    …examiner, or within internal audit a plus + Professional licenses and certifications desired (SIE, FINRA Series 7 , CCOS or IACCP a plus) + Working knowledge of ... Derivatives, Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge of federally… more
    CIBC (08/21/25)
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