Broker Dealer Jobs in Kansas City
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Search Results - Broker Dealer Jobs in Kansas City
Consilio LLCKansas City
remote
• Compensation: Starting at $120/hour, commensurate with experience
Responsibilities
• Handle securities broker-dealer litigation and arbitration matters, including FINRA-related disputes
• Support litigation strategy and case management...
Kansas Cityicims.com
Position purpose: Seeking candidate to join the Credit Risk team supporting our institutional operations. Candidate will be responsible for performing credit assessments and setting limits for a portfolio of Investment Advisors, Broker Dealers, Banks...
GTE FinancialKansas City
Please Note: This opportunity is not a direct position with Cetera Financial Group. Accepted applicants will become affiliated with Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), a broker-dealer...
Ascent Wealth PartnersKansas City
operations of the firm utilizing Northwestern Mutual’s independent broker-dealer platform. This role involves hands-on execution of day-to-day operations, ensuring the efficiency of investment strategies, compliance, reporting, and client service.
This role...
Golden ConsultingKansas City
recruiting financial advisors, or a background in wealth management as an advisor, wholesaler, or business development or branch leader
• Working knowledge of the wirehouse, independent broker-dealer and RIA channels
• Comfort with outbound calling and long...
Prudential FinancialKansas City
As an Experienced Financial Advisor, you will have access to a comprehensive open-architecture investment platform through our broker-dealer, LPL Enterprise , allowing you to leverage a diverse range of investment solutions, (i.e., stocks, bonds, ETFs, mutual funds...
MazoogiKansas City
and broker-dealers on the Investment Company Act of 1940, the Investment Advisers Act, and related SEC compliance.
• Guide clients through SEC and FINRA examinations, inquiries, and regulatory filings, including Form ADV.
• Serve as a primary client contact...
Innovative DrivenKansas City
Innovative Driven is currently seeking a dynamic attorney with at least five years of experience as a practicing litigation attorney, representing broker-dealers, to join the amazing Brokerage and Institutional Litigation team at one of our most...
AdvisorLawKansas City
in Broomfield, Colorado, AdvisorLaw is the premier firm advocating exclusively for financial advisors and wealth managers—nationwide. We provide representation and consulting to thousands of licensed professionals, never representing investors or broker-dealers...
TradeZeroKansas City
trading platform tailored to the needs of the ever-growing community of sophisticated traders.
With broker dealers in the Bahamas, US and Canada, we offer retail traders low-to-no-cost stock trading and direct market access to U.S. equities and equity...
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