- Principal Financial Group (Brentwood, TN)
- …Annuity licensing for all non-resident states in which business will be conducted. ** Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, ... 66 as required by applicable state law to become IAR with Principal Securities , Inc.'s RIA + Refer to Principal Financial Network Licensing/Exam Policy for the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …responsibilities as assigned. **Skills** + Concepts, practices, and procedures of securities trading. + Basic investment concepts, practices, and procedures used in ... the securities industry. + Accounting principles and procedures. + Mathematical procedures are required to verify and reconcile trading transactions. + Handling a… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Newegg Inc. (Diamond Bar, CA)
- …local regulations. Prepare and file compliance reports with regulatory bodies. Securities Filings: Help prepare and file required reports with regulatory agencies ... management, and compliance. - Strong understanding of corporate transactions and securities filings. - Proficiency in legal research and corporate record-keeping. -… more
- Wells Fargo (Davidson, NC)
- …For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite isrequired. Designated insurance license ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- JPMorgan Chase (West Harrison, NY)
- …were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Thrivent Financial (Kalamazoo, MI)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Edward Jones (Tempe, AZ)
- …states at the time of application.** + At least 3-5 years of securities industry experience as a Financial Advisor or equivalent position requiring extensive ... preferred. + Must be able to understand information about various securities , market conditions, industry trends, financial planning and relationship building +… more
- CalSTRS (Sacramento, CA)
- …such as Excel Visual Basics and Power BI + Experience with Investment Securities + Experience with US and Non-US corporate action processing + Experience with ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more