Mar 12 | Financial Consultant II Tri Parish Job | Capital One | Houma, LA |
including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more | |||
Mar 12 | 401(k) District Manager | ADP | Culver City, 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 | |||
Mar 12 | Licensed Financial Sales Consultant - Cook/DeKalb/DuPage/Kane | PNC | Naperville, IL |
* FINRA Series 6 & 63 (or 7 and 66) licenses required * Life/Health Insurance required * Proven track record in sales production and a strong desire to succeed * Excellent...more | |||
Mar 12 | VP, Business Unit Representative and Head of Regional Desk-Based Supervision | Response | New York, NY |
Government Securities Commissions, FSA, FINRA, SEC, OSFI and MSRB Coordinate change management process within the U.S. trading region by acting as a resource to Trading businesses... more | |||
Mar 11 | Broker Dealer Compliance Director | Access Staffing | New York, NY |
and registration activities, including FINRA and state securities registration and ... compliance, including FINRA rules and regulations, compliance... more | |||
Mar 11 | Broker Dealer Compliance Director - MMNP | Asset Management Firm | Hoboken, NJ |
and registration activities, including FINRA and state securities registration and ... Strong knowledge of securities/broker-dealer compliance, including FINRA rules and regula... more | |||
Mar 11 | Manager - Pre-Appointment (Ameriprise Advisor Center) Job | Ameriprise | Las Vegas, NV |
to multi-task. Preferred Qualifications - FINRA Series 66 and State Insurance License. ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more | |||
Mar 11 | Sr. Project Manager, Technology | Lpl Financial | San Diego, CA |
a securities regulator such as the S.E.C. or FINRA; and a minimum of 5 years project ... systems; and Working knowledge of S.E.C., FINRA, NFA, CFTC, and MSRB rules.more | |||
Mar 11 | Exclusive Insurance Agent Business Opportunity | Horace Mann | Danbury, CT |
Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield, IL 62715 800-999-1030 Horace Mann is an Equal Opportunity Company Is the Horace Mann Exclusive Agent... more | |||
Mar 11 | Financial Representative | Northwestern Mutual | Philadelphia, PA |
Training & Mentoring Program State and FINRA Licensing Paid for by the Company Contact: Blair Holubec Recruiter P: (215) 981-1320 F: (215) 563-2750 1818 Market Street, Suite 3010... more | |||
Mar 10 | Compliance Examiner - Market Regulation, Trading and Market Making Surveillance | Finra | New York, NY |
to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more | |||
Mar 10 | Relationship Associate II | Bank of Oklahoma | Oklahoma City, OK |
Bachelors degree or 3+ years of experience. FINRA Series 7, 63, 65, 66 securities licenses may be required. * Thorough knowledge and understanding of brokered and managed... more | |||
Mar 10 | Financial Advisor - New Advisor Program Job | Ameriprise | Overland Park, KS |
Maintain all appropriate FINRA/other licenses and requirements up to date ... prioritization. - Ability to obtain required FINRA licenses within 90-120 day. JCODE:...more | |||
Mar 09 | Finance Tutor/Teacher | Wyzant Tutoring | Redding, CT |
I am looking for a tutor for the FINRA Session 201 (OSJ's). finance Tutoring & Teaching opportunities available in Redding, CT starting at $25-$50/hr. more | |||
Mar 09 | Accounting Tutoring/Teaching | Wyzant Tutoring | Redding, CT |
I am looking for a tutor for the FINRA Session 201 (OSJ's). accounting Tutoring & Teaching opportunities available in Redding, CT starting at $25-$50/hr. more | |||
Mar 09 | PNC Investments Territory Supervisory Manager | PNC | Charlotte, NC |
Partners with Risk Manager on any audits/requests for information from FINRA, SEC and Stat ... * FINRA Series 7 and 66 or (63 & 65) licences; Also FINRA Series 8 or (9 & 10) or (4 & 10)... more | |||
Mar 09 | PNC Investments Territory Supervisory Manager - Investment Banking job | Pnc Financial Services Group | Charlotte, NC |
Partners with RiskManager on any audits/requests for information from FINRA, SEC and State ... FINRA Series 7 and 66 or (63 &65) licences; Also FINRA Series 8 or (9 & 10) or (4 & 10) or... more | |||
Mar 09 | Field Registered Principal Job | Ameriprise | Las Vegas, NV |
manner; maintain records in accordance with FINRA, NYSE and other applicable regulations. ... experience as a registered principal. - FINRA Series 7, 24 licenses required. - FINRA... more | |||
Mar 09 | Pcg Operations Liaison | Wells Fargo | Carbondale, IL |
written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more | |||
Mar 09 | Pcg Branch Administration Mgr | Wells Fargo | New York, NY |
9/10 which are required for this position. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more | |||
Mar 09 | Pcg Compliance Specialist | Wells Fargo | Indianapolis, IN |
9/10, which are required for this position. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or... more | |||
Mar 09 | Wbs Registered Client Assoc 1 | Wells Fargo | Corte Madera, CA |
2+ years investment support experience; FINRA registration; Series 7, 63 licenses or equivalent. Minimum Qualifications Ability to obtain Series 65 and state life and insurance... more | |||
Mar 08 | FIN CNSLT II (Partner Broker) (USA) Job | Capital One | Houston, TX |
including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more | |||
Mar 08 | FINANCIAL CONSULTANT III (USA) Job | Capital One | New York, NY |
This individual must hold FINRA Series 7, 63 and 65/66 as well as state approved Life and ... Qualifications Basic Qualifications: - FINRA Series 7, 63 and 65/66 licenses - State-appro... more | |||
Mar 08 | USBII Trader 1 | US Bank | St Paul, MN |
experience in a financial sales position - FINRA Series 7 license Preferred Skills/Experience - FINRA Series 63, 65 or 66 and applicable state insurance licenses - Thorough... more |
Three Respondents Cited In 539 Plan FINRA Settlement For the purpose of proposing a settlement of rule violations alleged by the Financial Industry R... Read On