- JPMorgan Chase (Columbus, OH)
- …+ Educate clients about JPMorgan products and valueadd resources. + Work towards and obtain a Series 6 & 63 securities licenses and pass the SIE exam. ... skills + Relationship building and problem solving skills + Attention to detail + Obtain Series 6 & 63 securities licenses and pass SIE Exam within 90 days… more
- Wright-Patt Credit Union Inc. (Beavercreek, OH)
- … Series 7 securities license is required. + FINRA Series 66 securities license is required within 6 months of employment into this position. + Life, ... and economic value to member-owners. Must have current FINRA Series 7 securities license. + Provides administrative...in all states in which doing business desired within 6 months of employment into this position. + Demonstrated… more
- Truist (Salt Lake City, UT)
- …industry knowledge 19. Effective presentation skills **Preferred Qualifications:** 1. Life License and Securities registration ( Series 6 & 63 minimum) along ... or exceeding quota. 5. Presents, conducts and organizes seminars for agents 6 . Demonstrates technical selling skills and product knowledge in areas of life,… more
- Aegon Asset Management (Denver, CO)
- …firm's 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
- Thrivent Financial (Little Rock, AR)
- …Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Thrivent Financial (Westbury, NY)
- …Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are ... a complex environment. * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Rules and...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Truist (Houston, TX)
- …have the SIE and Series 7 will be considered and can obtain the Series 66) 6 . Exceptional telephone skills and the ability to appropriately interact with ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- JPMorgan Chase (Columbus, OH)
- …+ Minimum of 6 years of financial services experience + Valid and active Securities Industry Essential (SIE), Series 7 & Series 66 licenses (63/65), or ... Vice President serves as a regionally aligned point of contact for all securities -based lending queries from Private Client Advisors and Assistants. As part of… more
- Edward Jones (Tempe, AZ)
- …or equivalent education and experience. + Securities licenses Series 7 and Series 66 required within 6 months of hire. + Familiarity with the following ... to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for Edward Jones Fund complex, and Service Providers.… more
- Truist (Coral Gables, FL)
- …of annuity products. 6 . FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates with only the Series ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Wells Fargo (Englewood, CO)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... 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
- Wells Fargo (St. Louis, MO)
- …including legal, compliance, risk, trading, and technology + Familiarity with securities laws and regulations, particularly with respect to Rule 144, distributions ... of securities in general, insider trading prohibitions and 10b5-1 program...to obtain pre-clearance prior to sales **Required Qualifications:** + 6 + years of Product Management, product development, strategic planning,… more
- City National Bank (San Francisco, CA)
- …control on the team. + Complete special projects as requested. **Qualifications** + FINRA Series 7 and 66 securities or ability to obtain **Must-Have + Master's ... Degree MBA and/or CFA, received or underway + Minimum 6 years of experience in Investment Management + FINRA Series 7 and 66 securities or ability to obtain… more
- Thrivent Financial (Dallas, TX)
- …within a Fortune 500 company sounds intriguing. Job Qualifications: + Currently hold Securities Series 7 license + Positive, Energetic & Results-Driven + ... them. And since you currently hold at least your Series 7 securities license , you'll quickly...care about your health) + 401(k) matching up to 6 % & a pension plan (we also care about… more
- Citizens (Rochester, NY)
- …with a minimum 3 or more years industry experience + A combination of Life and Health, Series 6 , and/or Life and Health, SIE licenses required + Must be able to ... you're passionate about a career in Wealth Management, Citizens Securities , Inc. is hiring for the Investment Assistant II...and dedicated time and support to successfully pass your Series 7 and 66 exams. The Investment Assistant II… more
- Wells Fargo (Chapel Hill, NC)
- …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
- Wells Fargo (Walnut Creek, CA)
- …supervisory principals, and Market Administration Management **Required Qualifications:** + 6 + months of Supervisory Control, Risk Management Consulting, Property or ... + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to… more
- Thrivent Financial (Rochester, MN)
- …within 90 days of hire for Life, Health and Annuities and additional Securities registration- SIE, Series 7 and 66 within 12 months of ... Thrivent is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. As the nation's largest fraternal benefit society,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Works in cohesion with other Virtual Financial Advisors to oversee over $ 6 billion in client assets to ensure proper fiduciary processes and procedures are ... **Advanced Knowledge of:** * Concepts, practices and procedures of securities and banking industry. * Fundamental investment concepts, practices...an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66… more