An irreverent Wall Street Blog
by Bill Singer

Year End Employment Spectacular At BrokeAndBroker.com

December 27, 2013

GOT THE HOLIDAY BLUES?
READY TO JUMP SHIP FOR THE NEW YEAR?

Stockbroker, Compliance, Legal, and Regulatory Jobs

For a full listing of current job openings, 
visit the BrokeAndBroker 

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: 
stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
Only $25 for 30 days!

Dec 23Financial AdvisorStockbrokerEdwardjonesPascagoula, MS

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

Dec 23Service CenterStockbrokerRecruit Gaap StaffingSavannah, GA

Job Title: Service Center Stockbroker. Recruit GAAP Staffing is searching for a full time Service Center Stockbroker for a company located in Savannah, GA. Industry Environment:... more

Dec 21Entry level Stock BrokerGreenwich Point Wealth ManagementGreenwich, CT

Entry Level Stockbroker opportunity Considering a career in finance? We are currently hiring for our broker trainee program in the Greenwich, CT office. The Broker Trainee Program... more

Dec 20Portfolio / Stock AdministratorInsync StaffingSan Jose, CA

Responsibilities: We are looking for a highly detail-oriented Stock Plan Administrator to process stock options, stock option grants, RSUs, exercises, and cancellations as well... more

Dec 20Stockbroker/Account ExecutiveDMG SecuritiesGreat Falls, VA

DMG Securities, Inc. is a full-service investment banking and securities brokerage firm. We are an experienced group of highly motivated professionals dedicated to providing the... more

Dec 19Financial ConsultantBcm Global Equity GroupMelville, NY

Consultant Financial Consultant (Long Island)Stockbroker -- Entry Level TraineeBCM Global Equity Group is looking for individuals with impressive work ethic and a strong desire to... more

Dec 18Claims Specialist - Insurance Agents and Securities Broker/Dealer Professional LiabilityCNANew York, NY

and property & casualty insurance agents and stockbroker liability. These claims include litigated and non-litigated matters and can range to from small errors to million dollar... more

Dec 17Equity Research Associate - Oil Field Se...Ef6982Houston, TX

Job Description Opportunities exist for Research Associates to join our team in Houston. Macquarie Group is a global provider of banking, financial, advisory, investment and... more

Dec 17Equity Research Associate - Oil Field ServicesMacquarieHouston, TX

EQUITY RESEARCH ASSOCIATE - OIL FIELD SERVICES Job number: MSG-915600 Group: Macquarie Securities Group Division: Cash - Research Recruiter: Lacey Lane Work type: Full time... more

Dec 12Financial Adviser - Wealth ManagementING Financial Partners - TampaSaint Petersburg, FL

Inc. Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment... more

Dec 03Stock Broker / Stock Broker TraineeVfinance InvestmentsMiami, FL

recruiting for established Stock Brokers and Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more


Dec 20Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more

Dec 19StockbrokerScottsdale Capital AdvisorsScottsdale, AZ

Job Description: Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing,... more

Dec 07Financial Advisor/StockbrokerMorgan WilshireGarden City, NY

Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more

Dec 02StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Dec 26FINRA Undergraduate Intern, OGC Code of Conduct - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate Intern, OGC Code of Conduct - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer Internship... more

Dec 25Administrative AssistantRecruitarrowHuntington, NY

Job Responsibilities and Requirements: Responsibilities? Provide administrative support for the assigned Region and associated branch to include support for facility and... more

Dec 23Financial AdvisorStockbrokerEdwardjonesMilwaukee, WI

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

Dec 22FINRAUndergraduate/Graduate Intern, EnforcementFinancial Industry Regulatory AuthorityRockville, MD

Title: FINRA Undergraduate/Graduate Intern, Enforcement - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer Internship... more

Dec 20FINRAUndergraduate/Graduate Intern, EnforcementFinraRockville, MD

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience... more

Dec 20Stockbroker/Account ExecutiveDMG SecuritiesGreat Falls, VA

DMG Securities, Inc. is a full-service investment banking and securities brokerage firm. We are an experienced group of highly motivated professionals dedicated to providing the... more

Dec 19Licensing/Registration CoordING North America InsuranceDes Moines, IA

Responsible for processing applications, renewals and cancellations for registered representatives/agent registrations/licenses in specific states and registering for...more

Dec 19FINRAUndergraduate/Graduate Intern, Regulatory Programs - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate/Graduate Intern, Regulatory Programs - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more

Dec 19FINRAUndergraduate/Graduate Intern, Member RegulationFinancial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Undergraduate/Graduate Intern, Member Regulation - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more

Dec 19FINRA Undergraduate Intern, Emerging Regulatory Issues - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate Intern, Emerging Regulatory Issues - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more

Dec 17FINRAUndergraduate/Graduate Intern, Member RegulationFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more

Dec 17FINRA Undergraduate Intern, OGC Code of Conduct - WashingtonFinraWashington D.c., DC

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 17FINRAUndergraduate/Graduate Intern, Regulatory Programs - WashingtonFinraWashington D.c., DC

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 16Policy Change TechnicianSouth Dakota State GovernmentSioux Falls, SD

File knowledge helpful • Prior insurance background helpful • Calculator and PC skills with high degree of accuracy important • FINRA regulations may require fingerprinting for... more

Dec 11Director of AuditFinra Member Broker-dealerJersey City, NJ

Responsibilities include the development of the overall audit strategy to help meet organizational objectives. Perform annual and ongoing entity wide risk assessment. Develop... more

Dec 06FINANCIAL SERVICES MANAGERParker + LynchCharlotte, NC

Management role located in Charlotte North Carolina with a dynamic company working in Financial Services. Candidate must posses FINRA series 6, 63 and 26 or 7 and 24. Ideal... more

Dec 05Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130100083 Job Description Chase is the U.S. consumer and commercial banking... more

Dec 04Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage ServicesJPMorgan ChaseSan Antonio, TX

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and... more

Dec 03Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TX-130107831 Job Description Chase is the U.S. consumer and commercial banking... more


Dec 24Graduate/Undergraduate Intern - Corporate Communications, Government Relations (The Largest Independent Regulator For All Securities Firms)FinraWashington D.c., DC

Required experience: 0 - 2 years Minimum required education: Bachelor's Degree Job category: Business & Strategic Management The position also requires coverage of Capitol Hill... more

Dec 21Regulatory AnalystFinraRockville, MD

Grade 43 - Working knowledge of relevant rules and regulations enforced by the Company and ability to conduct telephone interviews Grade 45 - A minimum of three years of directly... more

Dec 20Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more

Dec 20Compliance/Regulatory Audits & Inquiries/SEC,FINRAJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance - Regulatory Audits & Inquiries - Consultant to join their team. Work for an... more

Dec 19StockbrokerScottsdale Capital AdvisorsScottsdale, AZ

Job Description: Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing,... more

Dec 13Manager Market Regulation, MMI/Trading Analysis | Finance & InvestmentFinraRockville, MD

Essential Job Functions: Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of... more

Dec 07Financial Advisor/StockbrokerMorgan WilshireGarden City, NY

Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more

Dec 05Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations... more

Dec 02StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo Guest Blog Guest Blogger BrokerAndBroker U5 OBA Fraud Promissory Note Email U4 Aegis Frumento Merrill Lynch Morgan Stanley EFL Wire Fraud Elderly UBS Defamation CRD Forbes FBI Statutory Disqualification Suitability PST Ponzi ALJ Citigroup Whistleblower Borrowing Rule 3270 DOJ Supervision BrokerCheck BrokeAndBroker Bank Outside Business Activity IRS OIP Supreme Court OHO Felony Willful Form U4 NAC InSecurities Wrongful Termination SDNY Pro Se Expenses Wachovia Ameriprise IRA Mail Fraud Rule 2080 Insider Trading Rule 8210 Discretion Wife WSP Husband Dodd Frank Rule 1122 CCO Checks Form U5 Conversion Forgery NASD Bankruptcy Punitive Damages Raymond James RIA Tax Employment Tuesday Estate Settlement Discovery Business Expenses Willfulness Madoff Rule 2010 Rule 3240 Securities Industry Commentator Rule 3040 JP Morgan Wall Street Annuities LPL Frumento Credit Card NYSE Private Securities Transaction Bar Outside Business Activities Small Firm Power of Attorney Real Estate Edward Jones 2Cir Indictment Commissions Margin Facebook Rule 3280 Impersonation Insurance Promissory Notes Corrective Action Statement Exam Street Legal ETF Bank of America Tax Liens Tax Lien Spouse SRO ATM Beneficiary Mortgage Stephen Kohn Offer of Settlement Complaint Trump Wire Case In Point Test Rule 12206 Antitrust Schwab Misdemeanor Injunction Trust Lien Rule 2510 OTR Options Annuity Appeal VA ARS Away Account Schapiro TRO Barclays CFTC Signature T&P Employee Forgivable Loan Trustee Spouses Remand Loan Initial Decision Due Diligence POA Goldman Sachs NSF Securities Fraud Blockchain Bonus NASAA Liens HFT NASDAQ Eligibility Rule Money Laundering Deutsche Bank RBC Unauthorized Discretion Conspiracy Crypto PCAOB Signatures Rule 4530 Chase DCCir Mandatory Arbitration Failure to Supervise Stay Great Recession Cease And Desist Burris Sanctions E*Trade ACQ Flash Crash Fidelity Huffington Post Undisclosed Settlement Fiduciary Motion to Dismiss Dissent Compliance Rule 3010 Credit Cards Customer Continuing Education LOA Rule 4511 Scottrade email Unfair Competition Bharara Rule 12200 Lehman Brothers Gallagher Variable Annuity Hacking 9Cir Retaliation Disclosure MSSB brokeandbroker Unauthorized Trading Solicitation Identity Theft Disgorgement OWB Cryptocurrency Registered Rep Magazine Broker Protocol Rule 3050 Divorce Willfully Jurisdiction Hacker RRBDLAW.com Deceased Discrimination Coronavirus Unsuitability Sexism Retirement Explained Decision Motion to Vacate Sexist Audit Annual Compliance Questionnaire Malware Bitcoin Stockbrokers JPMorgan Wedbush Apple Letter of Authorization Website employment Forex Reg SP arbitration Variable Annuities FINRA Arbitration Vacatur Spoofing Board Severance Reimbursement Lucia TD Ameritrade RMBS Away Accounts Solicited LIBOR Net Capital Will REIT 10Cir Wey Second Circuit Registration Postponement Rule 12805 Social Media Elder Abuse FINOP Lehman jobs 2nd Circuit Prison Self Regulation BrokeAndBroker Bill Singer Customer Complaint Internet Personal Expenses Rule 2111 RRBDlaw.com MC-400 Private Placement Examination Waiver BrokeandBroker Statute of Limitations Marijuana Zipper FAA Bonds Confidential Information Commission Rule 2150 BrokeAndBroker.com Blog Hedge Fund Loans Hilton Weiner Time And Price Manifest Disregard IC3 Telephone Rule 3110 Charles Schwab Indemnification Imposter Debit Card Bureau of Prisons Newman China MetLife Arbitraiton Stifel Trading Platform Unsolicited bill singer Plea Brummer FOREX BOP Judgments Class Action Private Securities Transactions Piwowar Emails Testimony Employment Agreement Kokesh Dakota Securities Unjust Enrichment JOBS Act Credit Suisse Botkin Knight OSHA Sanction Guidelines Compensation Widow Rakoff Mutual Funds FNMA IPO NYAG Stifel Nicolaus PNC CNBC Bear Stearns Auction Rate Securities Lawyer CPA Suspension CE Joshua Brown CRS Protocol ADA Morgan Keegan WSPs Crowdfunding Check Kiting Fees Obstruction of Justice DOL Due Process Motion to Confirm Cheating Board of Governors Woody Allen Elder Fraud Charge SAC Oppenheimer Aleynikov Charity Restaurant Sales Assistant COVID Inability to Pay Banc of America TSSB Medicare Bloomberg Feigenbaum Bandimere MF Global Check Ketchum Dementia Whistleblowing Raiding ING Cannabis Customer Information EIA Khuzami Rule 13200 Day Trading Non Solicitation Tortious Interference High Frequency Trading Reg D Rule 2081 Affiliate Appointments Clause Rule 13805 Shah Gilani Article V Wire Transfer Regulation SP Concentration CEO Standing TOD Public Interest Rosenthal Recruiting Hurry Puerto Rico AML Reg S-P PN Affinity Fraud Unsuitable Counterclaim Stanford USERRA Gold Churning OIG Executor Termination Phishing Confidential Confirm Embezzlement Rule 12504 Series 7 Morgan Stanely Rule 9552 Pennystock Conflict Wine Passcode Finder\'s Fee IM ACH Rule 3030 Yesenia Guitron TCR Disability Guitron McDuff Hearing Smith Barney ICO 4Cir BrokeAndBroke SunTrust Form ADV Probate NPR Online Failure To Supervise Sharemaster Johnny Burris Morgan Stanley Smith Barney Statutory Disqualification Committee Attorneys Fees Outside Account Government Accountability Project Obstruction Small Firm Governor Leveraged ETF Marketplace Information Trade Secrets EDNY SDFL Ride the Thunder Vault Accounting Funds Moon Joint Account Teleconference Mother Vietnam Aguilar Argentina White Poteroba Layering Commodities Fraud Amazon PAQ Membership Continuance Consent Order 9/11 Marines Laptop Corruption Linde Murphy Circuit Court Research WB-APP Marine Corps Rule 4513 6th Circuit Bank Fraud HSBC expungement Ethereum Private Placements Statement of Corrective Action Written Supervisory Procedures Pennystocks Broke And Broker David Sobel Rule 2210 Subpoena Federal Reserve 401k Eligibility Star Wars Self Regulatory Organization Slander Chief Compliance Officer Unauthorized Practice of Law Margin Call Parking Testing Side Bar Corzine Deferred Compensation Medical Condition Whitman Mutual Fund Casino Bid Rigging Nietzsche Penson Unregistered Kon Sarbanes Oxley Fifth Amendment 401(k) Arrest Florida Settling Away Resignation Administrative Remedies First Amendment Regulation Congress Verbal Discretion Chase Investment Services BrokerAndBroker.com 40 Act Commissioner Stein Libel WaMu Do Not Call Hester Peirce Money Market Respondeat Superior Talman Harris IAR Attorneys\' Fees FINRA AWC Robert Muh Commodities Rule 9554 Rule 9216 Non-Solicitation Electronic Communications Outside Accounts Arbitration Oral Discretion S&P Rule 12904 Password Withdrawals Tax Fraud CGMI Client Information 1Cir Elles Thain Schneiderman RRBDlaw Reverse Life Insurance SP Christian Stanley Taft Correctional Institution Pruco Red Flags 11th Circuit Third Party Vendor BD Guest Bloggers YouTube Robert Cook BrokeAndbroker Jennifer Tarr LLC Taxes Inside Information Female Stipulated Award Test Center SD FCI Beaumont Scottsdale Rule 2370 Cold Spring Advisory Group Lincoln Financial Selling Away Sexual Harassment Negligence Investor Alert Life Insurance Wanger Turnover Fowler Rule 21F Excessive Trading Motion to Compel Over Concentration Hospital Non Solicit Elder Law Rory Flynn Trading CDO ESOP Stockbroker Dell SIFMA Stop Loss Sexual Discrimination Fine Chiasson Fiduciary Duty Judgment Control Person Meals JPM Google Investment Adviser CD FCI Fines TIC Disciplinary History OCIE Escrow signature Inmate Saad Newport Coast Securities Lawyers Constitution VXX VIX Death AXA 3Cir RICO Department of Justice Privilege BATS Equity Indexed Annuities 11Cir Motion Timban TheBlot PIABA Scholander Beneficiaries Puts Rule 1031 Backstage Wall Street David Lerner NDCA Diversity Kiting Moore Rule 12212 Counterfeit Texting Netschi 17a-5 OWWP Data Chevron Annual Audit FOCUS Leveraged ETFs Scam AWC. FINRA Self Reporting Collateral Bar Municipal Bonds Relevant Disciplinary History Rule 420 Cellphone Merill Lynch US Airways Municipal Advisor Spoliation Non Compete Bartko Collateral Bezos Exotic ETF Hugh Hewitt Solomon Honorarium EEOC Quasi Governmental State Actor Newbridge Retroactive Bar Bank Guarantee Capital Gains Fourth Amendment ETFs NRSRO BBVA Reverse Merger Work Product Oilpro Customer Files Preet Bharara Tennis Court Checking Blank Forms Jon Corzine Texas State Securities Board Section 206 Age Discrimination ADEA EDPA Arbitrator Customers Retired Woman With Cane Women Stephen A. Kohn Cybercrime Game of Thrones Outside Counsel In House Counsel FDA Legend Deceased Customer Risk Reuters Broy House Financial Services Banks Rule 3210 Lek Promoter ALJ Grimes Sears Liu Confirmation Books And Records National Securities Chase Bank Preliminary Determination QuadrigaCX Travel God Payroll NoCA Branch Manager Financial Disclosure Prime Bank FCPA Self Directed Exception Reports Initials Undertaking Fee Rules of Practice Eric Stein MSPB Subway Summary Judgment 6Cir Rule 3310 Reasonable NFA Lee Capitalism Covid-19 Last Known Address Theft Obama Malice RRBDLAW Series 66 Proctor Disparate Treatment Anderson NYG Capital FNI Media Credit Repair Excel Retroactive Advisor Placement Group Deferred Prosecution Agreement DPA Merrill Gabelli Brokeandbroker.com Currency Restitution Non-Prosecution Agreement Series 79 Trader Relevant Lewis Carroll Expense Election Pension Production Apartment PHC DWI Fiero Microcap Molchatsky Dostoevsky Exhaustion Doctrine Altered Records Tipper Tippee Pacifico Cryptocurrencies Executrix Civil Rights Principal Kent Flash Drive Cherry Picking Martin BrokeandBroker.com Boyland Naskovets Stipulation Expert Witness Bill Singer BrokeAndBroker Skimming Goble Countrywide Kierkegaard Laser Enforcement GAP Lexicon Transfer Kennedy HBO Traders Binary Options Wages Koval Nationwide Office of Special Counsel CMO 9th Circuit Trainee Fee Hertz Costa Rica fraud Kenneth Starr Murray Confidential Customer Information Nasdaq Bob Dylan Turbeville Tran NML MBS Diamonds Practice Sale Finra iPhone FTC Silver Bribe Willfull Walter Life Settlement Well Managed Portfolio Coin Racism Fraudulent Inducement Compliance Questionnaire Stock Promotion Reason for Termination NY Life Clayton Schumer Obamacare Reform Spam Berthel Fisher Romer Diabetes Crime Dow Mattera Gifts Sex 10b-5 Whistleblowers Unauthorized Trades Rule 2330 Mary Jo White Wires William Faulkner Wire Transfers Permanent Bar Compliance Officer Compromise Daspin Merger Springsteen CAT Orders McCartney EB-5 Motion To Dismiss Short Sale Personal Information Conflicts Martoma Janney Montgomery Scott Witness Tampering Res Judicata Investacorp Sharing Agreement Father Guardian Falsification Undercover FMLA Liquidation Immunity Elon Musk Securities and Exchange Commission Sterne Agee State Farm Irreparable Harm UIT false statements Books and Records BIll Singer IBM 1099 securities industry commentator Regulation S-P Service Wang Dinner Statute of Limitation Prudential 8210 FINRA Small Firm Mary Schapiro Criminal JPMorgan Chase Grievance Disney Ethics SIPC Offset Varney Supervisor ADR Galleon AIG Mistake Constructive Discharge AAA Copyright Powell Wells Fargo Advisors Impersonator Bill singer Rule 12104 Evidence Salman BitTorrent Baby Boomers FINRA Board Johnson SEC Rules of Practice MDLA