- Citizens (Boston, MA)
- …This individual must have the appropriate FINRA registrations, including but not limited to: Series 4 , Series 7, Series 24, Series 63, ... incident management and investigation. Qualifications: + FINRA licenses requires - Series 7, 4 , 24, 63, 65 (or 66). + Bachelors degree preferred + 10+ years… more
- Truist (Brooksville, FL)
- …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
- Bank of America (New York, NY)
- …changes in regulatory rules. + Oversee, develop, maintain and enforce the supervisory program + FINRA series 7, 63, 57, 4 & 24 licensed **Shift:** 1st ... activity. **Position Description:** + Understanding of US Equity Regulations, particularly SEC, FINRA , CFTC + Coordinate with IT to create and enhance supervisory… more
- UMB Bank (Kansas City, MO)
- …work experience + You demonstrate a high level of financial services industry knowledge + You possess FINRA Series 7, 24, 66, 4 as well as Life & Health ... Insurance **Compensation Range:** $57,760.00 - $124,170.00 _The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In… more
- Wells Fargo (Oak Brook, IL)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within ... the following: work experience, training, military experience, education + 4 + years of management or leadership experience + US...120 days. FINRA Series 66 (or 63 and 65)… more
- Wells Fargo (Davidson, NC)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within ... outlined in the job expectations below **Required Qualifications:** + 4 + years of Banking and Financial Services experience, or...120 days. FINRA Series 66 (or 63 and 65)… more
- Wells Fargo (Melbourne, FL)
- …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
- US Bank (Bridgeton, MO)
- … registrations to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series ... 2, Client Relationship Consultant 3, and Client Relationship Consultant 4 , Premier Client Relationship Consultant 4 and...or a combination of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …_(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, 28, 51, and 53 would be ... 99) without passing the examination.)_ + _Ability to obtain Series 7 License or other FINRA Licenses...to obtain Series 7 License or other FINRA Licenses (as required)._ **Education** Bachelor's: Finance, High School… more
- Wells Fargo (Greensboro, NC)
- …**Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or… more