- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... + Investment concepts, practices and procedures used in the securities industry. + Financial markets and products. **Skills:** +...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Raymond James Financial, Inc. (Springfield, IL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for… more
- Truist (Laurel, MD)
- …and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 24, Series ... manner that promotes client retention, relationship deepening and prospect referrals. 6 . Keep abreast of changing economic, legal, financial planning, investment… more
- Truist (Charlotte, NC)
- …of leadership skills and abilities to supervise registered representatives. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 66 ... of initiatives and provides project-related performance evaluations on project resources 6 . Proactively challenge the performance of current systems and processes… more
- Raymond James Financial, Inc. (Auburn Hills, MI)
- …be applied.** ** Series 7 and 66 (or 63 and 65) required.** **Ability to obtain Series 9 & 10 within six ( 6 ) months of hire.** **Ability to obtain additional ... and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains and supervises branch… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Professional) - Required unless you already hold one of the following qualifying registrations: Series 6 , 7, 17, 37, 38, or principal-level Series 4, ... be able to obtain within 120 days-the following FINRA licenses:_ + SIE ( Securities Industry Essentials) - Required unless exempt or grandfathered. + Series … more
- Raymond James Financial, Inc. (Lancaster, PA)
- …FINRA Series 7 and Series 63 or the ability to obtain within six ( 6 ) months of hire. + Series 52 after twelve (12) months of hire. **Travel Required:** ... + Fundamental investment concepts, practices and procedures used in the securities industry. + Fixed Income procedures, regulatory requirements, transactions and… more
- Raymond James Financial, Inc. (Palm Desert, CA)
- …be applied. + Series 7 and 66 (or 63 and 65) required. + Ability to obtain Series 9 & 10 within six ( 6 ) months of hire. + Ability to obtain additional ... as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed. + Recruits, selects, orients,...securities and advisory state registrations if required by state.… more
- NBT Bank (Portland, ME)
- …team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not ... Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations. + Strong communication and PC… more
- Truist (Homewood, AL)
- …experience. 2. 4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health ... Participate in the preparation for and delivery of client presentations and engagements. 6 . Assist the Advisor in developing and maintaining a profitable level of … more