- Truist (Richmond, VA)
- …+ Master's degree in finance or business, or equivalent education and related training. + ** FINRA Series 4 , 7, 24, 53, and 66 licenses ( Series ... 9 &10 can be used in lieu of 53, Series 63 & 65 can be used in lieu...and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong… more
- City National Bank (Los Angeles, CA)
- …* Demonstrated use of effective sales and communication skills. * Registered Representative with a FINRA Series 4 , 53, and Series 57 preferred. *WHAT'S ... and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA Series 24:… more
- Truist (Richmond, VA)
- …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
- Equitable (Williamsville, NY)
- …roles **Preferred Qualifications** * CLU, ChFC and/or CFP a big plus * FINRA Series 4 registration is encouraged * Strong professional work history in ... the branch they manage and work in the office 4 days per week - this is not a...401(k) plan. **Qualifications** **Required Qualifications** * Bachelor's degree * FINRA Series 7, 24, 53, and 66… more
- Thrivent Financial (Minneapolis, MN)
- …experience in broker-dealer operations, with at least 5 years in a leadership role. + FINRA Series 4 , 7, 24, 53, 66 licenses required (or will obtain within ... key liaison with clearing and custodial partners, ensures strict compliance with FINRA and SEC regulations, and drives continuous process improvements to support… more
- Citizens (Johnston, RI)
- …Salesforce, Wealthscape) + Completed high school degree or GED equivalent. + Preferred Qualifications + FINRA license - Series 4 + 3+ years of compliance ... Qualifications, Education, Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA licenses - Series 7; 63 & 65 OR 66; 9 & 10 OR… more
- Truist (Memphis, TN)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more
- Scotiabank (New York, NY)
- …upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 4 + years of experience in structured sales ... + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for… more
- Wells Fargo (Hermitage, TN)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
- Wells Fargo (San Jose, CA)
- …private banking * Experience recommending financial services products and services * Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below Required Qualifications: * 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture * Current registration for FINRA Series 6 and Series … more