- Raymond James Financial, Inc. (Memphis, TN)
- …(FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10_SU - Gen Sec Sales Supervisor - Financial ... 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
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch Office Mgr - Financial… more
- Bank of America (Atlanta, GA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education** **:** Bachelor's/University ... degree or equivalent experience; Masters degree a plus **Responsibilities:** + Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes + Build partnerships with supported Line of Business operations, Registered… more
- Bank of America (Los Angeles, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Pepper Pike, OH)
- … Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses, and ... Series 3 or 31 license (If warranted). + SIE strongly preferred + If Unlicensed, must successfully pass the AP Reasoning Exam + Minimum 3-5 years of financial services experience preferred + Ability to manage risk, make sound decisions with a strong… more
- Bank of America (Farmington Hills, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Washington, DC)
- …Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education:** + Bachelor's/University ... degree or equivalent experience, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary Range:**… more
- Bank of America (San Diego, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
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