- Raymond James Financial, Inc. (St. Petersburg, FL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations. **Skill in:** * Identifying the needs of customers ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- Access Dubuque (Dubuque, IA)
- …Services, LLC** **(NMIS)** (Investment Brokerage Services), a registered investment adviser, broker - dealer , and member of FINRA and SIPC, and Northwestern ... valued, and heard. **Why join Northwestern Mutual:** + Top 5 US Independent Broker -Dealers 4 + Unsurpassed financial strength with total company assets of $366… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ~or~ * ... - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms * Fund accounting… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Navy Federal Credit Union (Vacaville, CA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more
- Manulife (Workman, MN)
- …years of internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is ... partners, including but not limited to: Brokerage General Agents, banks, wirehouses, broker -dealers, and the JHI team. + Identify and prioritize key distributors,… more
- Manulife (NC)
- …years of internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is ... partners, including but not limited to: Brokerage General Agents, banks, wirehouses, broker -dealers, and the JHI team. + Identify and prioritize key distributors,… more
- Robert Half Legal (Philadelphia, PA)
- …and regulations, including those related to private placements, investment advisors, and broker - dealer activities. * Ability to thrive in a fast-paced, ... as well as laws and regulations governing investment funds, advisers, and broker -dealers. * General knowledge of legal structuring and tax issues associated with… more
- Charles Schwab (Sacramento, CA)
- …consultative B2B sales experts who focus on large and complex advisors, independent broker dealer reps and trust/bank professionals. You will partner with ... teams, independent advisors, family offices, trust companies, large branches/OSJ's and broker /dealers + Passionate about the benefits of moving from traditional… more
- Navy Federal Credit Union (San Diego, CA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify… more