FINRA Jobs in Dallas
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WELLS FARGO BANK-Dallas
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...
Charles Schwab-Dallas
focus. Essential skills include:
Bachelor's degree required
CFP® designation is required
Active and valid FINRA Series 7 license required
Active and valid FINRA Series 63/65 or 66, and 9/10 required (or to be obtained within 90 days)
Insurance...
WELLS FARGO BANK-Dallas
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...
Charles Schwab-Dallas
and advisor. Participate in joint sales calls regarding Schwab’s financial planning capabilities.
What you have
CFP® designation required
Active and valid FINRA Series 7 license required (may be obtained within the first 120 days condition of employment...
WELLS FARGO BANK-Dallas
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...
Bressler, Amery & Ross, P.C.-Dallas
range of commercial, business, securities litigation, including trial, arbitrations, and regulatory enforcement actions (SEC, FINRA and state).
• Participate in client advisement in the scope of financial services legal counsel.
• Conduct research...
mindmatch.ai -
Fawkes IDM-Dallas
placements, and Regulation D offerings.
Conducting due diligence investigations in connection with prospective investments.
Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies.
Providing legal and regulatory...
resume-library.com -
Hilltop Securities Inc.-Dallas
dealer or investment adviser.
• FINRA Series 7, required. Series 24 licenses preferred.
• Knowledge of compliance and supervision surveillance issues.
• Knowledge of wealth management, fixed income, public finance, equity trading, regulatory reporting...
mindmatch.ai -
IQ-EQ-Dallas
regulatory exams as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materials
Cultivate a culture of community...
resume-library.com -
Mutual of Omaha-Dallas
and Health exam.
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self-motivated...
Charles Schwab-Dallas
to the Schwab Wealth Advisory Investment strategy. Required Qualifications: Undergraduate degree required Active and valid FINRA Series 7 license required Active and valid FINRA 66 licenses required (may be obtained with a 120-day COE) Minimum 2...
Mutual of Omaha-Dallas
and Health exam.
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self-motivated...
Charles Schwab-Dallas
include: Bachelor's degree required CFP designation is required Active and valid FINRA Series 7 license required Active and valid FINRA Series 63/65 or 66, and 9/10 required (or to be obtained within 90 days) Insurance licensing strongly preferred Prefer...
Mutual of Omaha-Dallas
and Health exam.
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self-motivated...
Mutual of Omaha-Dallas
and Health exam.
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self-motivated...
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