FINRA Jobs in San Diego
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Search Results - FINRA Jobs in San Diego
Equitable AdvisorsSan Diego
entrepreneurial spirit with a desire to positively impact others' lives
• Ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided for required...
Cetera Financial GroupSan Diego
between the registered representatives and their clients while following FINRA guidelines as a registered sales assistant.Answer phones, schedule appointments, and prepare materials for client meetings.Aid registered representatives in preparing client...
Equitable AdvisorsSan Diego
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
Axos BankSan Diego
more definitive reviews of the portfolioEnsure that audits are in full regulatory compliance by allowing for a detailed review of processes and systemsQualifications:Bachelor's degree Active FINRA Series 7 license preferred10+ years of relevant...
Equitable AdvisorsSan Diego
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
San Diegoicims.com
brokers and agents, and securities brokers (FINRA).
Although we would prefer that you have some experience in professional liability law, we are also interested in working with developing talented attorneys who come to us with excellent skills in any...
Partain ConsultingSan Diego
and Disclosure
• Prepare and file Form ADV Parts 1 and 2A/2B (annual and other-than-annual amendments) on FINRA Gateway and oversee Form CRS delivery and updates, Form 13F filings when applicable and state notice filings (Blue Sky).
• Ensure compliance...
CDC Small Business FinanceSan Diegoworkable.com
About the Organization
The Momentus Capital branded family of organizations - which includes Capital Impact Partners and CDC Small Business Finance, Momentus Securities (an SEC-registered broker-dealer, MSRB-registered municipal advisor, a FINRA...
New York LifeSan Diego
LLC (member FINRA and SIPC), a Licensed Insurance Agency. This range allows you to develop tailored strategies to help clients and their families achieve their financial goals.
• Career Path Flexibility: As you grow, you can specialize in areas...
Candor AdvisorsSan Diego
and travel to clients as needed.
• FINRA Series 79 and SIE, or the ability to obtain them within a defined period after joining. We will sponsor registration through BA Securities, LLC.
What we offer
• Direct exposure to every phase of a sell-side...
Equitable AdvisorsSan Diego
operation and compliance infrastructure support
• LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated.
We know that making a move is a big decision. So we offer support and financial...
Artemis ConsultantsSan Diego
PREFERRED PROFILE:
• Bachelor’s Degree preferred.
• State Life & Health insurance licenses and FINRA SIE, Series 7 and 66 (or 63 and 65) required.
• Knowledge of core investment products including fixed and variable annuities and mutual funds...
Cetera Financial GroupSan Diego
Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial...
KaylusSan Diego
financial services is highly valued. Candidates should be willing to pursue applicable FINRA registrations or other regulatory qualifications as the company's consumer financial capabilities continue to evolve.
What Success Looks Like:
Within your first...
DiversyFund, IncSan Diego
their mistakes.
• Judgment: you treat customer data and outbound messages with care, and you know when an agent should stop and ask a person.
Nice to have
• Fintech: investor communications, payments, KYC, or work under SEC or FINRA rules.
• Email or SMS...
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