Nov 05 | Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - Chicago | JPMorgan Chase | Illinois |
Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - Chicago, IL-120073576 Job Description Chase Investment Services - Customer... more | |||
Nov 05 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio | JPMorgan Chase | Texas |
Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX-120073571 Job Description Customer Service Representative I The Investment... more | |||
Oct 30 | Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred) | JPMorgan Chase | California |
Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred)-120054742 Job Description Play a vital role in the customer banking experience at Chase! As part of... more | |||
Oct 30 | Fixed Income Sales | Mutual Securities, Inc. Member Finra, Sipc | Los Angeles, CA |
Institutional fixed income sales and trading office seeks energetic, proactive institutional fixed income salesperson. Your account focus could include banks, credit unions,... more | |||
Oct 23 | Senior Systems Analyst | Finra - Financial Industry Regulatory Authority | Rockville, MD |
FINRA is seeking a wellqualified individual for our Senior Systems Analyst opening in Rockville MD To be considered for this position please submit your resume through our career... more | |||
Oct 23 | Personal Banker - Belmont Shore/: FINRA Licenses Preferred - 6, Life & Health | Chase | Long Beach, CA |
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 | |||
Oct 20 | Personal Banker - El Toro,:FINRA Licenses Preferred - 6, Life & Health | Chase | Laguna Hills, CA |
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 | |||
Oct 17 | Financial Advisor DE/PA Life/Health, FINRA | Volt Information Sciences | Hollidaysburg, PA |
Financial Advisor - DIRECT HIRE - Hollidaysburg, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR... more | |||
Oct 17 | FINRA Contract Attorney | Lumen Legal | San Antonio, TX |
(San Antonio, TX) Lumen Legal is currently working with a Fortune 500 corporate client with an immediate need for a FINRA Attorney to assist the Broker-Dealer Compliance team in... more | |||
Oct 17 | Financial Advisor AAAAAA DE/PA Life/Health, FINRA | Volt Information Sciences | Hollidaysburg, PA |
Financial Advisor - DIRECT HIRE - Hollidaysburg, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR... more | |||
Oct 12 | OUTBOUND TELESALES (FINRA Series 6 Lic./$40K Salary + Bonus) | Mutual of America | Boca Raton, FL |
If you are looking for a reputable, stable financial services company to start your career with, this is a great opportunity for you if you have cold-calling telesales experience... more | |||
Oct 11 | Director, Corporate Records - Rockville, MD (Job #1926) | Finra (financial Industry Regulatory Authority) | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Director, Corporate Records opening in Rockville, MD. To be considered for this... more | |||
Oct 09 | FINRA Licensed Sales Assistant | Arjent | New York, NY |
Job Description : FINRA Licensed Sales Assistant MUST HAVE SERIES 7 and 63 Licenses Position involves extensive client contact, individual will be involved in all activities that... more |
Oct 26 | Stockbroker Trainee | New Horizons | New York, NY |
We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more | |||
Oct 24 | Stockbroker Trainee | New York, NY | |
We are undergoing an extensive expansion process at our company headquarters in Manhattan.We are a full service broker dealer firm and the fastest growing firm on theStreet.We are... more | |||
Oct 07 | Stockbroker/Account Executive | DMG Securities | Washington, DC |
Job Description: This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of... more | |||
Oct 07 | Stockbroker Trainee | Commerce One Financial | Uniondale, NY |
applications for a limited number of stockbroker trainee positions. Whether consulting with their clients on how to best manage their funds or informing prospective clients on... more |
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)htt... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellLip Service: The SEC, Reg S-ID, and the Majestic Equality of... Read On
Submitted for your consideration: Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC... Read On
Originally published as:"FINRA Report Refutes Court Finding Of Fundamental Unfairness In Leggett Arbitration" (BrokeAndBroker.com Blog / June 30... Read On
In a recent FINRA Arbitration Award, an arbitrator mounts Rocinante and grabs a lance. Even though we are merely Sancho Pancho (who went along for the... Read On