May 25 | External Insurance Wholesaler | Human Capital Resources | Pittsburgh, PA |
financial planner, financial planning, stockbroker, bank, independent, wirehouse, broker-dealer, RIA, securities, annuities, annuity, mutual funds, stocks, bonds, financial... more | |||
May 25 | Financial Consultant Yadkin Valley | Human Capital Resources | North Carolina |
financial planner, financial planning, stockbroker, bank, independent, wirehouse, broker-dealer, RIA, securities, annuities, annuity, mutual funds, stocks, bonds, financial... more | |||
May 25 | Stockbroker | Edward Jones | Fort Smith, AR |
Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more | |||
May 25 | Financial Advisor - bank channel | Human Capital Resources | Erie, PA |
financial planner, financial planning, stockbroker, bank, independent, wirehouse, broker-dealer, RIA, securities, annuities, annuity, mutual funds, stocks, bonds, financial... more | |||
May 25 | Stock Broker Trainee | John Carris Investment | New York, NY |
and opportunities. John Carris Investment's Stockbroker Trainee Program is seeking creative, entrepreneurial individuals who are motivated to become successful stockbrokers. The... more | |||
May 22 | Stock Broker Trainee | Hfp Capital Markets | Manhattan, 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 20 | Chief Underwriter officer | Js Cruiseline | Tampa, FL |
This officer plays a major role in the company's operations and health. This officer daily tasks is to invest in the company's full operations budget and improve cash flow and... more | |||
May 18 | Stockbroker Trainee | Hfp Capital | New York, NY |
Train alongside a twenty year Wall Street Veteran. We offer a true mentoring program. We are a FINRA/SIPC member firm on Park Avenue in Midtown Manhattan seeking recent college... more | |||
May 10 | Stock Broker Trainee-Free Series 7 and 63 Sponsorship | New 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 03 | Telemarketing Pro, Ex-Stockbroker Preferred | New 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 26 | Commodities Research Associate - Global Oil | Macquarie | Houston, TX |
With expansion of our economic capabilities in the US, an opportunity now exists for a Research Associate to work with our Global Oil Economist. Macquarie Group is a global... more |
May 27 | Personal Banker - Seal Beach & PCH, Seal Beach, CA (FINRA Licenses Series 6,63, Life and Health Preferred) | JPMorgan Chase | California |
Personal Banker - Seal Beach & PCH, Seal Beach, CA *(FINRA Licenses Series 6,63, Life and Health Preferred)*-120032586 Job Description Play a vital role in the customer banking... more | |||
May 25 | Life Insurance Distribution - FINRA / SEC Attorney | Vintage Legal | New 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 17 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San An | Chase | San Antonio, TX |
Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and... more | |||
May 17 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - | Chase | San Antonio, TX |
Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and... more | |||
May 16 | Sr. Advertising Compliance Analyst | ING North America Insurance | Windsor, 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 | |||
May 15 | FINRA Arbitraiton Attorney needed for long-term project | Robert Half Legal | St Louis, MO |
FINRA Arbitraiton Attorney needed for long-term project Our client, a large financial services company, is looking for an attorney to assist them on a long-term contract basis in... more | |||
May 08 | Sr. Broker Dealer Customer Service Rep. (FINRA Series 6 Required) | MetLife | Somerset, 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 05 | Sr Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) | MetLife | Somerset, 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 05 | Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) | MetLife | Somerset, 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 04 | FINRA Extern - Office of the Ombudsman | Finra | Rockville, 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 | |||
Apr 26 | Compliance Assistant -FINRA's Central Registration Depository | Lakeshore | Dallas, 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 |
A former UBS financial advisor (a top producer) was fired for allegedly violating compliance policies. The advisor tells a markedly different story.... Read On
In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On
Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On
A former Wells Fargo Clearing Services, LLC registered representative attempted to pay $3,800 to purchase an Outback Bowl VIP Club Membership, which... Read On