- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote ... be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7, 66 (or 63/65), 24 (or 9/10)...66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review.… more
- Wells Fargo (York, PA)
- …military experience, education US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... of the time US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Wells Fargo (Philadelphia, PA)
- …of the following: work experience, training, military experience, education Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... FINRA recognized equivalents) Desired Qualifications: Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify for immediate registration (or … more
- Wells Fargo (St. Louis, MO)
- …military experience, education US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA ... branch associates and business units; including managers and advisors FINRA registration including Series 65 or 66 (or ...FINRA registration including Series 65 or 66 (or FINRA recognized equivalents) Job Expectations: US Only: Registration for… more
- Wells Fargo (St. Louis, MO)
- …Successfully completed Successfully completed Securities Industry Essentials (SIE) exam Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify ... for immediate registration (or FINRA recognized equivalents) Job Expectations: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (… more
- Wells Fargo (Tempe, AZ)
- …and partners Desired Qualifications: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... Fargo sales practices risk management culture Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Minneapolis, MN)
- …military experience, education US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment Job Expectations: US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (Newtown Square, PA)
- …private banking Experience recommending financial services products and services Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... Fargo sales practices risk management culture Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Philadelphia, PA)
- …with the ability to present to and influence decision makers. Successfully completed FINRA Series 7 and 66 (or equivalent) exams to qualify for immediate ... registration (or FINRA recognized equivalents) Job Expectations: Willingness to work at...opening and travel in market 25% of the time FINRA Series 7 and Series 66 examinations, or equivalent… more
- TD Bank (Boston, MA)
- …in person and 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… more
