- 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
- PNC (Austin, TX)
- …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. ... and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment.… more
- Siebert Williams Shank (New York, NY)
- …able to build upon those over time. Requirements + 5+ years of experience in Institutional Sales + FINRA Series 7 and 63 registrations required + Established ... & Co., LLC ("SWS") is seeking to expand its Institutional Fixed Income Sales desk. We are a fast-growing, top-ranked financial services firm that provides investment… more
- Vanguard (Malvern, PA)
- …combination of training and experience. + Minimum of three years related work experience. Sales experience preferred. + Series 7 and 66 (or ability ... opportunity for a Financial Consultant who will manage a sales Book of Business of High Net Worth (HNW)...of High Net Worth (HNW) self-directed clients who have sales opportunity and/or external share of wallet propensity. You… more
- TD Bank (Doral, FL)
- …Experience:** + Bachelor's degree strongly preferred + 2+ years of providing advice, planning and investment sales + SIE, Series 7 , Series 63 required + ... for TD Wealth clients + Meets quarterly and annual sales goals + Deepens wallet share by anticipating client...Required to have L&H and Series 66 (or equivalent) or the ability to obtain… more
- T. Rowe Price (Baltimore, MD)
- …in Pacific Southwest territory + DCIO and/or Retirement Plan Sales a must. + FINRA Series 7 and Series 63 Preferred: + CIMA + MBA + CFP + CFA + Extensive ... a difference in ways that matter to you . Role Summary The Sales Director, Defined Contribution Investment Only (DCIO) is responsible for cultivating relationships… more
- City National Bank (New York, NY)
- …* Minimum 5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional ... work in tandem with an assigned SFA to provide sales and client and colleague service support coverage. The...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- M&T Bank (Fayetteville, NY)
- …(LAH) license **Education and Experience Preferred:** Minimum of 5 years' sales and/or sales administrative experience FINRA Series 7 and 99 licenses M&T ... **Overview:** Provides administrative and sales support to Registered Representatives (Financial Advisors) to...to support follow-up activities with required servicing. + Support sales process by participating in preparing, planning and executing… more
- Atria Wealth Solutions (Dublin, CA)
- …investment industry experience and/or training. + 3+ years of prior management experience, including sales coaching experience. + Series 7 , 63, 65 (or 66) ... coordinate the preparation of daily, monthly, and annual reports related to sales activities, income, expenses, and referrals. + Assist in preparing annual operating… more
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