- ADP (Florham Park, NJ)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- Access Dubuque (Dubuque, IA)
- …experience, CFP designation preferred and/or equivalent combination of education and experience. + Hold Series 6 & 63 securities licenses, with desire to ... sessions. + Complete all required continuing education to maintain securities and insurance licenses. + Perform other duties as...7 license within one year of employment. + Hold Series 66 license, or ability to acquire within 90… more
- Wells Fargo (Minneapolis, MN)
- …goals + Interact with internal and external clients **Required Qualifications:** + 6 + months of Securities Sales experience, or equivalent demonstrated through ... **About this role:** Wells Fargo is seeking a Securities Sales Program Analyst to join the Cross...to 10% or as needed + Registration for FINRA Series 7 must be completed within 90 days of… more
- Thrivent Financial (Crete, IL)
- …in a business or finance related field + Must have or be interested in attaining securities registration with SIE, Series 7 and Series 66 within 120 days ... which is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. Position Summary: Maar Financial Group is looking for… more
- Raymond James Financial, Inc. (Savannah, GA)
- …state. **Education** Bachelor's (Required) **Work Experience** Manager Experience - 3 to 6 years **Certifications** s10 - General Securities Sales Supervisor - ... + Investment concepts, practices and procedures used in the securities industry. + Financial markets and products. + Human...that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. + Series… more
- Raymond James Financial, Inc. (Memphis, TN)
- …office system. **Education** Bachelor's (Required) **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials Exam ... (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - Financial Industry Regulatory Authority...63_AG - Agent - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment… more
- HUB International (Mclean, VA)
- …including scheduling reviews, assembling reports, and driving deliverables from meeting. **Qualifications:** + Securities licenses Series 6 , 7, 63, 65, or 66 ... HUB International employee engagement content. + Participation in HUB Camp quarterly series . + Revenue generation by cross-selling and converting clients to retail.… more
- Aegon Asset Management (Denver, CO)
- …advisers. Qualifications + High School education or GED equivalent required. + Willing to obtain Series 6 /63 Securities Licenses within 6 months hire. + ... Willing to obtain resident state Life Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Bachelor's: Business Administration **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - ... patterns and possible rules violations and ensure adherence to securities industry regulations and limit firm liability. Conduct internal...analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within… more
- Wells Fargo (El Cajon, CA)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
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