- Kestra Financial (Fort Worth, TX)
- …in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration * Series 7 and 63 required * Series 65/66 preferred (or… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... strategies, particularly in a digital context is a plus + Excellent communication, interpersonal, and time management skills. + Ability to excel in a fast-paced, client-centric environment. About Integrity Integrity is one of the nation's leading independent… more
- Equitable (Charlotte, NC)
- …other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence ... reviews of new and existing third-party retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/compliance as a subject matter expert in ERISA and retirement plan business. + Support our in-house 3(21) & 3(38) ERISA… more
- Brokers International (Urbandale, IA)
- …multiple projects simultaneously + Prior management, Registered Investment Advisor and Broker Dealer experience required. Life Insurance and Annuity experience ... required. + Experience with Microsoft Dynamics preferred + Travel up to 25% About Integrity Integrity is one of the nation's leading independent distributors of life, health, and wealth insurance products. With a strong Insurtech focus, we embrace a broad and… more
- TD Bank (Exton, PA)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- TD Bank (Brooklyn, NY)
- …the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- TD Bank (Greenville, SC)
- …3010(e) and successor regulations **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Securities Laws. May (or may not) be a registered position under FINRA + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Securities Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- TD Bank (Boston, MA)
- …digitally to large audiences **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Securities Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation… more