FINRA Jobs in Burlingame (CA)
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Search Results - FINRA Jobs in Burlingame (CA)
Fidelity TalentSource LLC-Burlingame (CA)
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 -
Fidelity Investments-Burlingame (CA)
success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire Keen ability to present complex solutions...
efinancialcareers.com -
Atria Wealth Solutions-San Francisco, 14 mi from Burlingame (CA)
i.e., Social Security, Education planning, Retirement planning, etc.)
Desired Qualifications:
• Licenses and Registrations: FINRA Series 7, 63/65 (or 66) and Life, Accident and Health Insurance licenses
• Clean U-4 and Background
• Two or more years...
appcast.io -
Fidelity Investments-Burlingame (CA)
success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire Keen ability to present complex solutions...
efinancialcareers.com -
Mercury-San Francisco, 14 mi from Burlingame (CA)
technology company or in the payments industry
• FINRA Series 24 and/or Series 27 licenses
• Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer)
• Familiarity with state level financial...
appcast.io -
Fidelity Investments-Burlingame (CA)
success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire Keen ability to present complex solutions...
efinancialcareers.com -
Forge Global, Inc.-San Francisco, 14 mi from Burlingame (CA)
Manage internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the BD and RIA’s business activities.
• Designated point of contact with the SEC, FINRA and state regulatory bodies, managing regulatory audits...
appcast.io -
Confidential-San Francisco, 14 mi from Burlingame (CA)
contact with regulatory bodies, providing support and training on FINRA and SEC rules, maintaining compliance with Form ADV, and developing compliance policies and procedures. The VP, CCO will also be expected to identify and mitigate regulatory risks...
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Confidential-San Francisco, 14 mi from Burlingame (CA)
or equivalent experience, and have at least 5 years of prior wholesaling experience in the bank and/or wirehouse distribution channels. A FINRA 6 or 7, 63, and Life and Health license are required. The ideal candidate will have proven sales competence...
mindmatch.ai -
Avantax Planning Partners-San Francisco, 14 mi from Burlingame (CA)
of related experience and/or training.
• Experience with MS Excel and Word, and the internet, required.
• Experience with a financial planning software program(s) preferred.
Certificates, Licenses, Registrations:
• Required: FINRA Series 7/66, or 63/65...
mindmatch.ai -
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