- Raymond James Financial, Inc. (Denver, CO)
- …regulations, and client suitability (all at a level consistent with the requirement of Series 9 , 10, and 24 licensing). * Familiarity/facility with RJ and its ... that an exemption or grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o Series 66 can be used instead of the 63 o Series 24… more
- Truist (Atlanta, GA)
- …to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of Truist… more
- Truist (Charlotte, NC)
- …to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible Employees… more
- Truist (Richmond, VA)
- …to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of Truist… more
- Raymond James Financial, Inc. (Denver, CO)
- … 7, 24 and 63, Series 66 can be used in lieu of the 63, o Series 9 and 10 can be used as an equivalent to the 24 * State Insurance License in which candidate ... and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable. *… more
- Raymond James Financial, Inc. (Denver, CO)
- … 7, 24 and 63 * Series 66 can be used instead of the 63 * Series 9 and 10 can be used instead of the 24 + State Annuity and Life License for resident state. ... and/or training approved by Human Resources. **Licenses/Certifications** * Appropriate series license(s) for assigned functional area required or the ability… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... Series 63 + Consistently demonstrates clear and concise written and verbal communication skills **Education:** + Bachelor's Degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed.… more
- Bank of America (Frontenac, MO)
- …managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series 9 & 10 not currently ... held, must be obtained within 120 days. + Travel required: Will vary depending on geography **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 Bank of America and its affiliates consider for employment and hire qualified candidates without… more
- Raymond James Financial, Inc. (Carmel, IN)
- …duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains and supervises ... ** 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 securities and… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license(s) for assigned functional area required or the ability… more
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