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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 22, 2011

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Nov 21 Director of Wealth Management Fortune 500 Atlanta, GA

or leadership experience. FINRA Series 7. FINRA Series 66 (or 63 and 65). FINRA Series 24. Life/Health license. Certified Financial Planner practitioner. Expert knowledge of... more

Nov 21 401K Sales Hunter - Major Accounts Job ADP San Francisco, CA

and close business. Required licensing: FINRA Series 6 and 63. - Strong organization, planning, and interpersonal skills. Ability to work in a team environment. - Possess strong... more

Nov 20 401(k) Sales Hunter!! (B2B) Wilsonhcg Columbus, OH

Business Development-DM Required licensing: FINRA Series 6 and 63 Our client is a global, ... industry data Required licensing: FINRA Series 6 and 63. This person must have strong... more

Nov 20 FINANCIAL CONSULTANT Capital One Salisbury, NY

including but not limited to those of FINRA, the SEC and state insurance ... (LICENSES, CERTIFICATIONS, ETC)FINRA Series 7, 63State-approved Life and... more

Nov 19 Regulatory Analyst - Market Regulation, Market Analysis FINRA Rockville, MD

to the FINRA Careers site, enter www.FINRA.org/careers into your browser to reach ... and Affirmative Action Employer 2011 FINRA. All rights reserved. FINRA is a... more

Nov 18 401(k) District Manager ADP Rancho Cucamonga, CA

1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, ... Strong track Required licensing: FINRA Series 6 and 63. Strong organization,... more

Nov 18 Sr Financial Advisor Ubis (Rancho Mirage, Palm Desert & La Quinta) Union Bank Rancho Mirage, CA

experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more

Nov 18 Financial Advisor Waddell and Reed/tacoma Yakima, WA

compliance practices in accordance with FINRA and corporate supervisory procedures. Support corporate initiatives as defined by company management. If you are interested in... more

Nov 17 Client Services Rep-Brokerage Services Call Center Union Bank Los Angeles, CA

Requires FINRA licensed Series 7 / 63 in addition to two years brokerage experience and technical work related experience, such as typing skills, Word. College degree is... more

Nov 15 Partner Novodyn Advisors Dallas, TX

caps on your earning potential. Must have a FINRA Series 65 or 66 license (or be grandfathered by the CFP or CFA designations) or be able to take and pass exam within one month. more

Nov 14 Regulatory Analyst - Market Regulation, Trade Exams & Special Reviews FINRA New York, NY

to the FINRA Careers site, enter www.FINRA.org/careers into your browser to reach ... and Affirmative Action Employer 2011 FINRA. All rights reserved. FINRA is a... more

Nov 14 Chief Compliance Officer Chicago, IL

surveillance reports, and other firm and FINRA required documents, processes and ... Working knowledge of SEC and FINRA regulations relating to agency... more

Nov 14 Senior Compliance Officer Asset Management Company New York, NY

of 1934, Investment Advisers Act of 1940 and FINRA rules and regulations, apply today! ... policies and procedures of the Advisers Act, FINRA, FSA and other foreign regulatory... more

Nov 14 Sr Financial Advisor Ubis (Marin County - San Rafael) Union Bank San Rafael, CA

experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more

Nov 14 Brokerage Operations Manager - Unionbanc Investment Services Union Bank Los Angeles, CA

and operational procedures, including FINRA supervisory tasks (Series 24). Ensure ... administrative and business operations FINRA Series 7, 63, 65 and 24 required,... more

Nov 14 Financial Advisor/ Columbus, OH Job Sun America Columbus, OH

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 14 Financial Advisor/ Chillicothe, OH Job Sun America Chillicothe, OH

* 2+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 13 Suitability Principal - Woodbury Financial Services Hartford Oakdale, MN

investigationsQualificationsQUALIFICATIONS:FINRA 7 and 24 requiredSeries 51 or 53 ... and business/product knowledge and/or basic FINRA supervisory responsibilitiesFamiliar... more

Nov 13 Financial Advisor - Indianapolis / Greenwood IN Job Sun America Indianapolis, IN

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 13 Financial Advisor - Phoenix AZ Job Sun America Phoenix, AZ

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 13 Financial Advisor / Santa Cruz CA Job Sun America Santa Cruz, CA

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 13 Financial Advisor- Montgomery County, MD Job Sun America Bethesda, MD

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 13 Financial Advisor / Desert K-12 Job Sun America San Bernardino, CA

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... more

Nov 12 Financial Sales Consultant Associate Allstate Harrisburg, PA

candidate meets the guidelines set forth by FINRA for securities licensing. Completes a ... Expertise in FINRA, and Broker/Dealer regulatory requirements... more

Nov 11 Business Developer Wealth Management Advisory Firm New York, NY

icing. Candidates should have a Bachelor's degree in a business related field and a minimum of 5 years experience in Financial Services sales. FINRA Series 7 and 65 or 66... more

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