FINRA Jobs in Mountain View (CA)
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Search Results - FINRA Jobs in Mountain View (CA)
Fidelity TalentSource LLC-Sunnyvale, 4 mi from Mountain View (CA)
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 to a knowledgeable client base while building rapport and credibility...
mindmatch.ai -
New York Life-Los Altos Hills, 3 mi from Mountain View (CA)
of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise in different areas...
talentnest.com -
Fidelity TalentSource LLC-Burlingame (CA), 21 mi from Mountain View (CA)
with Fidelity.
The Expertise We re Looking For
• FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Financial services experience preferably in financial planning
• Degree...
mindmatch.ai -
Atria Wealth Solutions-San Francisco, 33 mi from Mountain View (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 TalentSource LLC-Burlingame (CA), 21 mi from Mountain View (CA)
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 to a knowledgeable client base while building rapport and credibility...
mindmatch.ai -
Mercury-San Francisco, 33 mi from Mountain View (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 TalentSource LLC-Burlingame (CA), 21 mi from Mountain View (CA)
and learning resources to develop your career. /u00A0Note, the application window closes when the position is filled or unposted.
Certifications:
Certified Financial Planner /u00AE / CFP-/u00AE - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series...
mindmatch.ai -
Forge Global, Inc.-San Francisco, 33 mi from Mountain View (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 -
Crump Life Insurance Services-San Jose, 11 mi from Mountain View (CA)
owned by the bank. Position will be remote but must reside in the Des Moine area. Active FINRA registration is a Must!
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which...
mindmatch.ai -
New York Life-San Jose, 11 mi from Mountain View (CA)
NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance
Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a
Registered Representative before you can offer investment...
talentnest.com -
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