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Dexian-St Louis
Job Title: Case Advisor – FINRA SERIES 7
Duration: 6 -12 months contract with possible extensions
Location: St. Louis, MO
30 days of training onsite – then will move to a hybrid model of 5 days onsite/5 day’s work remote
M – F, 8:00am – 4:30pm...
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WELLS FARGO BANK-Durham
Desired Qualifications: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration State Insurance license(s) Customer...
Fidelity TalentSource LLC-Farmington Hills
a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity. This includes paid, on-the-job study time 4 days a week...
mindmatch.ai -
WELLS FARGO BANK-West Covina
Desired Qualifications: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration State Insurance license(s) Customer...
Fidelity TalentSource LLC-Boston
a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity. This includes paid, on-the-job study time 4 days a week...
mindmatch.ai -
WELLS FARGO BANK-Fort Worth
Desired Qualifications: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration State Insurance license(s) Customer...
USAA-Colorado Springs
have:
• High School Diploma or General Equivalency Diploma required.
• Active Group 1 Life & Health license
• Active, in good standing, and maintained FINRA 7 license
• Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license...
USAA-San Antonio
Required maintenance of Life/Health license.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
Direct Counsel, LLC-New York
expertise to guide decision-making.
Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
Interact with regulatory bodies such as the SEC and FINRA.
Qualifications:
Juris Doctor...
resume-library.com -
USAA-Colorado Springs
Required maintenance of Life/Health license.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
Hold Brothers-New York
Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements...
resume-library.com -
USAA-Phoenix
Required maintenance of Life/Health license.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
Hold Brothers-New York
FOCUS Reports
Net Capital Computations
Supplemental Schedule of Income (SSOI)
Form Custody
Brokerage Statement Analysis
Securities Investor Protection Corporation (SIPC)
Annual Audit Support
FINRA Examination Support
Accounting Due Diligence...
resume-library.com -
USAA-San Antonio
have:
• High School Diploma or General Equivalency Diploma required.
• Active Group 1 Life & Health license
• Active, in good standing, and maintained FINRA 7 license
• Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license...
Fisher Investments-Tampa
on phone-based sales or virtual connections
Your Qualifications:
• 2+ years experience working in financial services
• FINRA Series 65 or a combination of FINRA Series 7 and 66 preferred
• Multi-year track record of success driving results
• Success...
2 similar jobs: Plano, Camas
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