- Bank of America (Newport Beach, CA)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Miami, FL)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel *... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Tulsa, OK)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Northbrook, IL)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Redding, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... Financial Solutions Advisors in the centralized segment are phone-based licensed advisors (obtaining series 7 and 66 required) that provide clients with holistic… more
- Jackson National Life Insurance Company (Nashville, TN)
- …investment external wholesaling experience is preferred.** **Securities Industry Essentials (SIE) required.** **FINRA Series 6 or 7 , FINRA Series 63, State ... managing existing relationships with broker/dealer (BD) advisors to increase Jackson sales in the given territory. This is accomplished through meetings, seminars,… more
- Jackson National Life Insurance Company (Nashville, TN)
- …insurance or investment wholesaling experience preferred.** **Securities Industry Essentials (SIE) required.** **FINRA Series 6 or 7 , FINRA Series 63, State ... (HPW) is responsible for developing and implementing a business plan to achieve sales goals and producer type goals by covering a targeted advisor segment -… more
- Jackson National Life Insurance Company (Nashville, TN)
- …Wholesaler training program (10-12 weeks) required.** **Securities Industry Essentials (SIE) required.** **FINRA Series 6 or 7 , FINRA Series 63, State ... highly motivated individual with an opportunity to learn about Jackson's products, sales and marketing. This is achieved by successfully completing Jackson's product… more
- Nuveen Investments (MI)
- …5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... The Alternatives Business Development job directs the sales and distribution efforts for the Alternatives Investments...business development in the Alternative Investments space + FINRA Series 7 and Series 63… more
- Wells Fargo (Hesperia, CA)
- About this role: Wells Fargo is seeking a Relationship Banker (SAFE) for our National Branch Network as part of the Consumer, Small & Business Banking division. ... Desired Qualifications: * Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more