Broker Dealer Jobs in Rochester
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Search Results - Broker Dealer Jobs in Rochester
Prudential Financial-Rochester-
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...
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Pittsford (NY), 7 mi from Rochester-icims.com-
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
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Charles Schwab-Rochester-appcast.io-
and intercompany lending agreements.
• Reviewing Treasury group policies and procedures.
• Advising on margin regulation and related broker dealer regulations.
• Advising on legal and regulatory matters affecting the Treasury Department and keeping management...
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The Well-Rochester-
8–10+ years of experience as a financial advisor, with a track record of strong client relationships
• Comfortable operating in a fee-only RIA model—no broker-dealer registrations required
• Series 65 (or equivalent) preferred; if you don't have...
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JPMorgan Chase & Co.-Rochester-appcast.io-
equities at a broker-dealer or comparable institution
• Demonstrated track record selling algorithmic trading products and cash execution services to institutional clients
• Active FINRA registrations: SIE, Series 7 and Series 63 (Series 55/57 a plus...
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JPMorgan Chase & Co.-Rochester-appcast.io-
as needed
Required qualifications, capabilities, and skills
• Five plus years of experience in financial services including, but not limited to, financial planning, goals-based investing, financial advisory at a broker-dealer, RIA and/or a private bank...
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JPMorgan Chase & Co.-Rochester-appcast.io-
with regulatory issues relevant to broker-dealers (e.g., SEC and FINRA rules related to communications, filings, document retention requirements, licensing, etc.).
• Familiarity with M&A / Conflicts, including with landmark Delaware case law relating to M&A...
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