- Bank of America (Lincoln, RI)
- National Financial Solutions Advisor I (Lincoln, RI) ( Series 7 Required) Lincoln, Rhode Island **To proceed with your application, you must be at least 18 ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Lincoln/ National -Financial-Solutions-Advisor-I--Lincoln--RI Series - 7 -Required-\_25016218-1) **Job Description:** At… more
- Bank of America (Fort Worth, TX)
- Consumer Investments - Investment Specialist Trainee (Obtain SIE Series 7 66) Fort Worth, Texas **To proceed with your application, you must be at least 18 years ... responsibilities include deepening relationships by referring clients to specialized sales teams and serving as a central entry point...pass licensing exams - Security Industry Essentials (SIE) and Series 7 and Series 66.… more
- Equitable (Milwaukee, WI)
- …**Qualifications** **Required Qualifications** + 1 Years experience in Compliance roles + FINRA Series 7 , 65 or 66 registrations + FINRA Series ... Branch Compliance Analyst (Hybrid) Willing to Obtain Series 24 ( 250000A0 ) **Primary Location** :...including but not limited to: + Responsible for ensuring sales practices, account documentation, and books and records comply… more
- PNC (Chicago, IL)
- …7 /2011, is acceptable in lieu of Series 52) within 90 days of employment. Municipal Sales - SIE, Series 7 or 52, and 63 within 90 days of employment. ... with insurance **Job Description** + Responsible for a team sales professionals to drive sales activities and...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and… more
- PNC (Strongsville, OH)
- …7 /2011, is acceptable in lieu of Series 52) within 90 days of employment. Municipal Sales - SIE, Series 7 or 52, and 63 within 90 days of employment. ... the company's success. As a Capital Markets Associate - Sales (F) within PNC's Capital Markets organization, you can...enhancements. Compliance and/or audit experience. Finra licenses required: SIE, Series 7 and 63. Required with 90… more
- Huntington National Bank (Columbus, OH)
- Description The Institutional Sales Support Associate plays a vital role in...obtain within 12 months of hire the FINRA SIE, Series 7 and Series 63 ... delivering exceptional service and operational support to institutional sales representatives and clients. This position will require you...1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63… more
- City National Bank (Los Angeles, CA)
- …experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * Bachelor's ... Advisors apprised of significant client issues and potential problems. *City National Securities Brokerage Account Administration* * Establish new accounts opened in… more
- Nuveen Investments (New York, NY)
- …+ 5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Career Level** 9PL **Position:** Head of Income ... Strategic Accounts plan. **Qualifications** + 10+ years of DCIO sales , or national account sales ...+ Demonstrated strength building client-focused relationships + Current FINRA Series 7 and Series 63… more
- Manulife (Tempe, AZ)
- … Sales team meetings, and Sales Management meetings as needed **Job Requirements:** + Series 7 , Series 63, 65, or 66 required. Series 24 strongly ... as required; + Motivates the team and works in partnership with National Sales Manager to develop recognition standards for the team + Provides strong… more
- Umpqua Bank (Tacoma, WA)
- …quote information and mutual fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and money market ... Financial Service Sales Assistant Wealth Management Tacoma, Washington **Description** **About...investment direction from clients. Series 7 licensed employees provide limited decision-making… more
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