Nov 26 | Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required | Chase | Chicago, IL |
Chase Investment Services - Customer Service Representative I The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group... more | |||
Nov 26 | Personal Banker - West Hillcrest Dr - Thousand Oaks, CA (FINRA 6/63 CA Insurance Licenses Preferred) | JPMorgan Chase | California |
Personal Banker - West Hillcrest Dr - Thousand Oaks, CA (FINRA 6/63 CA Insurance Licenses Preferred)-120071589 Job Description Play a vital role in the customer banking... more | |||
Nov 17 | FINRA Arbitration attorney | La Jolla, CA | |
Non-profit safety organization, with stipulated donation to regain losses to donor due to E Trade fraud, seeks an attorney. Case has been filed, and is in progress, and in process... more | |||
Nov 15 | FINRA Graduate Extern - (unpaid) Ombudsman | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for the Spring 2013 semester. The purpose is to... more | |||
Nov 15 | FINRA Extern, Credit Regulation & OJT | Financial Industry Regulatory Authority | New York, NY |
Title: FINRA Extern, Credit Regulation & OJT - New York, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more | |||
Nov 13 | FINRA Graduate Extern - (unpaid) Ombudsman | Financial Industry Regulatory Authority | Rockville, MD |
Title: FINRA Graduate Extern - (unpaid) Ombudsman - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry... more | |||
Nov 12 | Help with Drafting Statement of Claim forFinra Securities Arbitration - Litigation | Elance.com | Millbrook, NY |
Experienced attorney with thriving practice needs help with drafting initial drafts of Securities Arbitration Claims. Project will require review of client forms, including:...more | |||
Nov 10 | Financial Advisor PA Life/Health, FINRA - DIRECT HIRE | Volt Information Sciences | Williamsport, PA |
Description: Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions... more | |||
Nov 09 | Qualifications Analyst / Senior Qualifications Analyst | Finra (financial Industry Regulatory Authority) | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Qualifications Analyst or Senior Qualifications Analyst opening in New York, NY... more | |||
Nov 09 | Financial Advisor PA Life/Health, FINRA | Volt Information Sciences | Williamsport, PA |
Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more | |||
Nov 08 | Personal Banker - PCH & Crenshaw,: FINRA Licenses 6, 63, Life & Health Preferred | Chase | Torrance, 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 | |||
Nov 08 | Personal Banker - Woodland Hills, CA (FINRA6/63 CA Insurance Licenses Preferred) | JPMorgan Chase | Woodland 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 | |||
Nov 07 | Operations Support Specialist (FINRA-Licensed) | Arque Capital | Scottsdale, AZ |
**Applicants MUSTbe FINRA-licensed with current FINRA Series 7 and 63 licenses. Applications for non-licensed individuals will not be considered.**Job ContentJob Purpose: Provides... more | |||
Nov 05 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt | JPMorgan Chase | San Antonio, TX |
Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808 Job... more |
Nov 25 | Stockbroker Trainee (Boca Raton) | Dawson James Securities | Boca Raton, FL |
seeking motivated candidates for our Stockbroker Trainee position. Must be money-motivated, self starting, competitive and sharp. We are sponsoring for your Series 7 and Series 63... more | |||
Nov 24 | LICENSED STOCKBROKERSONLY - WALL ST LOCATION | E1 Asset Management | New York, NY |
directly to E1 President - Ron Itin The E1 stockbroker program is very effective. Be prepared to succeed on Wall Street. Our Program Offers: * Min Draw Salary or net commissions... more | |||
Nov 06 | 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 |
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