FINRA Jobs in California
1 - 15 of 98
Search Results - FINRA Jobs in California
PlanMember Financial Corporation-Carpinteria
If you have an interest in finance, this is an excellent opportunity to start your career in the Financial Services Industry. While going through a unique and comprehensive training program while obtaining your FINRA licenses, you would serve...
mindmatch.ai -
Forge Global, Inc.-San Francisco
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 -
Fidelity TalentSource LLC-Los Gatos
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 -
Edward Jones-Irvine
study period
• FINRA registrations are required within three months. State insurance licenses are also required
As an associate, you are required to complete all ongoing training offered by the firm and regulatory authorities FINRA and/or SEC
Complete...
Fidelity TalentSource LLC-San Diego
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 -
Edward Jones-Redding (CA)
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate...
5 similar jobs: Mesquite, Austin, Knoxville, Pensacola, Marysville
USAA-Alhambra (CA)
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
Must be able to successfully pass...
New York Life Insurance Company-San Dimas
Representatives through NYLIFE Securities LLC, member of FINRA and SIPC, a Licensed Insurance Agency and a New York Life company.__(2) Specific terms, such as eligibility and benefits, are determined under the terms of the relevant plan documents.
New York Life...
Empire Growth Partners / Northwestern Mutual-Sacramento
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.
1 Northwestern Mutual Financial...
resume-library.com -
USAA-California
/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 requirements. Additionally, applicant must...
Fidelity TalentSource LLC-Los Angeles
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 -
USAA-California
LIFE SPECIALIZATION / HEALTH SOLUTIONS: Licensing is not required, however, if there is an existing license and a business need, maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53) may be required.
8 or more years of related...
Fidelity TalentSource LLC-Seal Beach
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 -
Atria Wealth Solutions-San Francisco
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 -
Mercury-San Francisco
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 -
1234567
FINRA jobs – More cities:
Broaden your job search:
Don’t miss out on new job openings!
Create a job alert for: FINRA, California
It's free, and you can cancel email updates at any time
1234567