FINRA Jobs in San Francisco
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Search Results - FINRA Jobs in San Francisco
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 -
San Francisco
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 litigation arena. If you have...
icims.com -
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 -
Fidelity TalentSource LLC-Burlingame (CA), 14 mi from San Francisco
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 -
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 Investments-Burlingame (CA), 14 mi from San Francisco
with Fidelity.
The Expertise Were 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 -
Charles Schwab-Alameda (CA), 8 mi from San Francisco
securities license, enjoy working in a team setting, and share our passion for serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66...
Fidelity TalentSource LLC-Burlingame (CA), 14 mi from San Francisco
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 -
WELLS FARGO BANK-San Jose, 40 mi from San Francisco
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...
WELLS FARGO BANK-San Jose, 40 mi from San Francisco
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...
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