An irreverent Wall Street Blog
by Bill Singer
 
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

EMPLOYMENT TUESDAY At BrokeAndBroker.com
Written: May 14, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 


STOCKBROKER OPENINGS

May 10Stock Broker Trainee-Free Series 7 and 63 SponsorshipHfp Capital MarketsNew York, NY

seeking qualified candidate for a full time Stockbroker Trainee Position. Full sponsorship for Series 7 &63 Exams. You will work alongside seasoned veterans in the industry.Retail... more

May 08Equity Research Associate -REITsMacquarieNew York, NY

An opportunity now exists for a Research Associate to join our REITs research team in New York. Macquarie Group is a global provider of banking, financial, advisory, investment... more

May 08Quantitative Research Associate, North American Quantitative ResearchMacquarieNew York, NY

We are currently seeking an associate to join our Research team in New York, focusing on North American sell-side equity research. Macquarie Group is a global provider of banking,... more

May 07Stock Broker TraineeHfp Capital MarketsNew York, NY

seeking qualified candidate for full time Stockbroker Trainee Position. Full ... sales training to become a Fully Licensed Stockbroker. We will provide: All necessary...more

May 03Telemarketing Pro, Ex-Stockbroker PreferredNew York, NY

We are considered by many of our peers to be the leading executive search firm in the world for the placement of attorneys. We currently have an opening in our recruiting... more

Apr 30External Life Insurance WholesalerHuman Capital ResourcesPittsburgh, PA

financial planner, financial planning, stockbroker, bank, independent, wirehouse, broker-dealer, RIA, securities, annuities, annuity, mutual funds, stocks, bonds, financial... more

Apr 30StockbrokerEdward JonesSan Diego, CA

Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more

Apr 30Life Insurance External WholesalerHuman Capital ResourcesPittsburgh, PA

financial planner, financial planning, stockbroker, bank, independent, wirehouse, broker-dealer, RIA, securities, annuities, annuity, mutual funds, stocks, bonds, financial... more

Apr 20FINRA Legal Extern (Unpaid)FinraDallas, TX

We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for a Graduate Legal Externship in our Enforcement Department in Dallas, TX. This position... more

Apr 20INSIDE SALES FULL TIMELong Island, KS

INSIDE SALES F/T Social Media company looking for sales professionals with at least 2 yrs exp to sell services to execs and prof'ls. Stockbrokers pref'd but not nec. Plush... more

Apr 20STOCKBROKERS & TRAINEESClark Dodge & CoGarden City, NY

STOCKBROKER AND TRAINEES CLARK DODGE & COMPANY Member FINRA/SIPC Seeking highly motivated & dynamic individuals for immediate entry into series 7 program. - Sponsorship for Series... more

Apr 20FINRA Legal Extern (Unpaid)Financial Industry Regulatory AuthorityDallas, TX

Title: FINRA Legal Extern (Unpaid) - Dallas, TX Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for... more

Apr 17SalesNew HorizonsNew York, NY

Stockbroker Trainee - New York This is an entry level position. We are undergoing an ... the opportunity you have been looking for. Stockbroker Qualifications: Candidates must... more






May 12Life Insurance Distribution - FINRA / SEC AttorneyVintage LegalNew York

Employer: Vintage Legal LLC Type: - Senior Attorney NYC Area. Our client is a global financial institution seeking an experienced attorney to provide legal support for numerous... more


May 08Sr. Broker Dealer Customer Service Rep. (FINRA Series 6 Required)MetLifeSomerset, NJ

MetLife, a leading provider of insurance and other financial services to individual and institutional customers, is seeking a Sr. Broker Dealer Customer Service Representative in... more

May 05Sr Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeSomerset, NJ

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

May 05Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeSomerset, NJ

Job Title: Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) Job ID: 69506 Location: New Jersey Full/Part Time: Full-Time Regular/Temporary: Regular... more

May 04FINRA Extern - Office of the OmbudsmanFinraRockville, MD

We Work to Protect Investors. Join our Team. � FINRA is seeking a well-qualified individual for our� Summer Extern �opening in Rockville, MD . To be considered for this... more

May 01Personal Banker - Manhattan Branch Village - Manhattan Branch, CA (FINRA Licenses Series 6,63, Life and Health Preferred)JPMorgan ChaseCalifornia

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more

Apr 30Advertising Compliance AnalystING North America InsuranceWindsor, CT

Responsibilities include reviewing and approving advertising and sales literature created by field RR/IARs as well as home office created materials within published turnaround... more

Apr 27Compliance Assistant -FINRA's Central Registration DepositoryLakeshoreDallas, TX

Our client,located in Downtown Dallas, TX is one of the country's largest diversified investment banks, delivering expertise and insight to clients across varied industry...more

Apr 27NYC: FINRA Arbitrations Partner NeededNew York, NY

Our client is a growing national full-service law firm looking to add partners with FINRA Arbitration experience for their NYC office. Groups are encouraged to apply. Books of... more



 
[^top^]

Previous Entries
December 22, 2014
You recommend that a customer make a cash contribution in order to lock-in a minimum rate provision for a protection-plus policy. Within a year of tha... Read On
December 20, 2014
Till Death And Redemptions Do Husband, Wife, Stockbroker, And Bob Marley PartWe start with a wife and her children. We add a husband. We toss into tha... Read On
December 19, 2014
We start with a wife and her children. We add a husband. We toss into that scene a stockbroker. Then come the redemptions. All of which sets the stage... Read On
December 18, 2014
In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar.  It's not a case involving eart... Read On
December 17, 2014
The road to Hell is paved with good intentions and a recent FINRA regulatory settlement involving a customer's email request for a wire transfer certa... Read On
December 16, 2014
A Personal Note From Bill Singer:It is with great sadness that I note the passing of my friend and veteran industry compliance professional Richard Be... Read On
December 15, 2014
If a public customer wants to place an idiotic order or insists on engaging in trading that seems destined to commit "economic suicide," what, if any,... Read On
BrokeAndBroker.com Job Search


Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration Counterclaim BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Day Trading Ameriprise Commissions Spouse Schwab Commission CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers SIPC IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Department of Justice Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Thain Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 Eligibility RRBDlaw Appeal Fowler LPL Johnson US Airways Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Rule 3050 Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon CGMI Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity Expense Reimbursement FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker RIA Prison Disclosure NASAA Aguilar FCPA Subway Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital God HSBC Private Placements Eric Stein Wire Fraud FINOP CCO Audit Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education Cheating OIP Tax Liens Willful CE Unregistered Impersonation Annuities BBVA Business Expenses ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Impersonator Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks RMBS AML PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement Money Market employment jobs Great Recession Chase Investment Services Arrest Barclays Liens Failure To Supervise Apple Time And Price T&P Willfully Husband Letter of Authorization LOA Sexism Debit Card Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Charge Sexist NML Argentina Embezzlement Silver Investor Alert Judgment Bank Fraud Deceased TSSB Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Rule 3040 Class Action Beneficiary NYAG Schneiderman Gallagher White Self Regulation Short Sale Compromise Website TRO Supervision Vacatur SDNY BrokeAndBroker Bill Singer Piwowar Stifel Rule 1122 Article V signature Confidential Inside Information VA Regulation SP Customer Rule 3270 Rule 3240 Annual Compliance Questionnaire OWB 2Cir Stockbrokers Altered Records
 
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+