by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 25, 2014
back-office staff.
| Mar 21 | Stockbroker Trainee | National Securities | New York City, NY |
seeks qualified candidate for a full time Stockbroker Trainee Position. Full training ... to become a Fully Licensed Stockbroker Hiring Organization: National Securities...more | |||
| Mar 11 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden City, NY |
Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more | |||
| Mar 09 | Junior Stockbroker | National Securities | New York, NY |
National Securities is a full service brokerage firm located in downtown Manhattan. We were founded 50 years ago and currently have 40 offices across the United States and Europe. more | |||
| Mar 25 | Cold Caller | Select Family of Staffing Companies | Tinton Falls, NJ |
Falls, NJ During the training program, the Stockbroker trainee will utilize a call list ... flexibility involved in each call. The Stockbroker trainee will utilize an online... more | |||
| Mar 24 | Service Center Stockbroker | Recruit Gaap Staffing | Riverside, MO |
is search for a full time Service Center Stockbroker for a client company located in Kansas City, MO area. Industry: Financial Services. With an environment described as:... more | |||
| Mar 21 | Equity Research Associate - Specialty Fi... | Ef6982 | New York, NY |
Job Description Opportunities exist for Research Associates to join our team in New York Macquarie Group is a global provider of banking, financial, advisory, investment and... more | |||
| Mar 19 | Equity Research Associate - Chemicals | Ef6982 | Houston, TX |
Job Description Opportunities exist for Research Associates to join our team in Houston Macquarie Group is a global provider of banking, financial, advisory, investment and... more | |||
| Mar 17 | Accounting and Finance | Bcm Global Equity Group | Melville, NY |
Stockbroker - Entry Level Trainee BCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to...more | |||
| Mar 17 | Financial AdvisorStockbroker | Edward Jones | Tupelo, MS |
Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more | |||
| Mar 15 | Financial Advisor | Caldwell International Securities | Brooklyn, NY |
Seeking qualified Series 7 licensed candidates for a full time position. You will have the opportunity to work along side with and learn from seasoned veterans of the industry. more | |||
| Mar 15 | Financial Adviser - Wealth Management | ING Financial Partners | Jersey City, NJ |
Inc. Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment... more | |||
| Mar 14 | Equity Research Associate - Chemicals (00749714) | Macquarie Holdings | Houston, TX |
* Back to Search Results * Next * Previous Equity Research Associate - Chemicals * Salary: Competitive * Location: Houston < TX < USA * Job Type: Permanent, Full time *... more | |||
| Mar 13 | Office Manager | Hebeler Financial | Clearwater, FL |
Previous experience working for stockbroker or life insurance agent a plus. Must be computer savvy, know powerpoint, energetic, outgoing personality, great phone personality,... more | |||
| Mar 12 | Stockbroker | Bcm Global Equity Group | Melville, NY |
About UsBCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to succeed. You will be working... more | |||
| Mar 11 | FINRA Legal Extern Unpaid | Finra | Philadelphia, PA |
We Work to Protect Investors. Join our Team.FINRA is seeking well qualified individuals for ourLegal Extern Department of Enforcement opening in Philadelphia, PA. To be considered... more | |||
| Mar 08 | Financial Service Representative Trainee - Westminster, CO Job | Scottrade | Arvada, CO |
while training to become a licensed stockbroker. It is expected that the incumbent will pass the Series 7 and Series 63 exams within 4-5 months of assuming this position. more | |||
| Mar 07 | Donor Services Associate | New England Baptist Hospital | Boston, MA |
the information received via phone call from stockbroker, confirms gift value, records and acknowledge gift, and tracks the receipt of the proceeds check Prepares acknowledgment... more | |||
| Mar 06 | Stock Broker / Stock Broker Trainee | Vfinance Investments | Miami, FL |
recruiting for established Stock Brokers and Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more | |||
| Mar 05 | Stockbroker/Account Executive | DMG Securities | Great Falls, VA |
Position Available - Stockbroker/Account Executive This sales position entails building an ... as well as careeropportunities as a stockbroker with our firm. Individuals will have... more | |||
| Mar 04 | STOCKBROKER | DMG Securities | Great Falls, VA |
STOCKBROKER RecentCollege Graduates DMGSECURITIES, INC., member FINRA, SIPC. Full service broker. Personalizedin-house training. Lucrative payout schedule. Entry Level/All Majors. more | |||
| Mar 24 | Service Center Stockbroker | Recruit Gaap Staffing | Riverside, MO |
Recruit GAAP Staffing is search for a full time Service Center Stockbroker for a client company located in Kansas City, MO area. Industry: Financial Services. With an environment... more | |||
| Mar 19 | FINRA Legal Intern, Enforcement | Financial Industry Regulatory Authority | Boca Raton, FL |
Title: FINRA Legal Intern, Enforcement - Boca Raton, FLLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship ProgramFINRA is... more | |||
| Mar 19 | Vice President & Deputy, Sales Practice - NY, NY or other FINRA office location | Financial Industry Regulatory Authority | New York, NY |
Title: Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.FINRA is... more | |||
| Mar 19 | Insurance Agent - Insurance Sales (Finance/Business Management/Sales/Business Owner/FINRA/Insurance Licensed) | Baltimore Agency Point Farmers | Owings Mills, MD |
Job Description Farmers is currently recruiting for three different career opportunities: 1. Retail Agency Program: Successful candidates will be well capitalized Turn-key system... more | |||
| Mar 19 | Anticipated Investment Customer Service Rep I - Broker Service Center -FINRA Series 7 Required - Chicago | JPMorgan Chase | Illinois |
Anticipated Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-140028510 Job Description Chase Investment Services - Customer... more | |||
| Mar 17 | Financial AdvisorStockbroker | Edward Jones | Tupelo, MS |
Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more | |||
| Mar 14 | Stockbroker | Bcm Global Equity Group | Melville, NY |
About Us BCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to succeed. You will be working... more | |||
| Mar 11 | FINRA Legal Intern, OGC CPAG | Finra | Washington, DC |
We Work to Protect Investors. Join our Team.2014Summer Internship ProgramFINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more | |||
| Mar 05 | Stockbroker/Account Executive | DMG Securities | Great Falls, VA |
DMG Securities, Inc. is a full-service investment bankingand securities brokerage firm. We are an experienced group of highly motivatedprofessionals dedicated to providing the... more | |||
| Mar 04 | STOCKBROKER | DMG Securities | Great Falls, VA |
STOCKBROKER RecentCollege Graduates DMGSECURITIES, INC., member FINRA, SIPC. Full service broker. Personalizedin-house training. Lucrative payout schedule. Entry Level/All Majors. more | |||
| Mar 04 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio | JPMorgan Chase | Texas |
Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TX-140021829 Job Description Chase Investment Services - Customer Service... more | |||
| Mar 04 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services | JPMorgan Chase | San Antonio, TX |
Chase Investment Services - Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group... more | |||
| Mar 24 | Regulatory Coordinator - Member Regulation, Sales Practice - Atlanta, GA (00761463) | Finra | Atlanta, GA |
* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, Sales Practice - Atlanta, GA * Salary: Competitive * Location: Atlanta < GA < USA * Job... more | |||
| Mar 24 | District Director - Member Regulation, Sales Practice - Woodbridge, NJ (00761457) | Finra | Woodbridge, NJ |
* Back to Search Results * Next * Previous District Director - Member Regulation, Sales Practice - Woodbridge, NJ * Salary: Competitive * Location: Woodbridge < NJ < USA * Job... more | |||
| Mar 24 | Regional Counsel, Enforcement | Financial Industry Regulatory Authority (finra) | Boca Raton, FL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regional Counsel opening in Boca Raton, FL. To be considered for this position,... more | |||
| Mar 24 | Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD (00761328) | Finra | Rockville, MD |
* Back to Search Results * Next * Previous Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD * Salary: Competitive * Location:...more | |||
| Mar 21 | Stockbroker Trainee | National Securities | New York City, NY |
Publicly traded full service brokerage firm that has been in business since 1947 seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and...more | |||
| Mar 19 | Anticipated Investment Customer Service Rep I - 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 | |||
| Mar 17 | Compliance/Asset Mgmt/Marketing Materials/SEC & FINRA rules | New York, NY | |
Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance Officer to join their team. Work for an exciting company within a fast-paced... more | |||
| Mar 14 | Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) (00707779) | Finra | Chicago, IL |
* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) * Salary: Competitive * Location: Chicago <... more | |||
| Mar 14 | Regional Counsel, Enforcement - Los Angeles, CA (Job Number: 003031) (00753932) | Finra | Los Angeles, CA |
* Back to Search Results * Next * Previous Regional Counsel, Enforcement - Los Angeles, CA (Job Number: 003031) * Salary: Competitive * Location: Los Angeles < CA < USA * Job... more | |||
| Mar 14 | Investigator II, Corporate Financing - Rockville, MD(Job Number: 003175) (00753930) | Finra | Rockville, MD |
* Back to Search Results * Next * Previous Investigator II, Corporate Financing - Rockville, MD(Job Number: 003175) * Salary: Competitive * Location: Rockville < MD < USA * Job... more | |||
| Mar 14 | Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) (00744788) | Finra | Washington, DC |
* Back to Search Results * Next * Previous Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) * Salary: Competitive * Location: Washington... more | |||
| Mar 14 | Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) (00688919) | Finra | New York, NY |
* Back to Search Results * Next * Previous Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) * Salary: Competitive *... more | |||
| Mar 14 | Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) (00697218) | Finra | New York, NY |
* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) * Salary: Competitive * Location: New York... more | |||
| Mar 14 | Deputy District Director, Member Regulation Sales Practice - Boca Raton, FL(Job Number: 003219) (00751427) | Finra | Boca Raton, FL |
* Back to Search Results * Next * Previous Deputy District Director, Member Regulation Sales Practice - Boca Raton, FL(Job Number: 003219) * Salary: Competitive * Location:... more | |||
| Mar 14 | FINRA Compliance Officer | Sicor Securities | Dayton, OH |
Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with... more | |||
| Mar 13 | US only-Branch AuditorsFINRA-SEC | Temporary Contract | Baltimore, MD |
I am looking to hire auditors with experience with SEC or FINRA compliance audits. US ONLY. You will be assigned local branch offices to audit, so travel will be limited. Typical... more | |||
| Mar 11 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden City, NY |
Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more | |||
| Mar 09 | Junior Stockbroker | National Securities | New York, NY |
National Securities is a full service brokerage firm located in downtown Manhattan. We were founded 50 years ago and currently have 40 offices across the United States and Europe. more | |||
| Mar 05 | FINRA / Securities Litigation Associate Attorney | Atticus Recruiting | Chicago, IL |
Our client, a full-service, AM100 and NLJ top 50 law firm, seeks a FINRA / Securities litigation associate attorney for its Chicago office: Requirements: JD from a top law school... more | |||
| Mar 05 | Financial Analyst -- FINRA | Spherion Staffing | Somerset, NJ |
Financial Analyst - Advanced Our large insurance corporate client, in Somerset, NJ, has 3 short-term temporary positions available for Advanced Financial AnalystsMUST HAVE: FINRA... more | |||
| Mar 05 | Financial Analyst (FINRASeries 7 & 24) | Metasys Technologies | Somerset, NJ |
Metasys Technologies, Inc. (MTI) an Atlanta-based company works with large and mid-market organizations around the world. By consistently delivering high quality programs,... more | |||
| Mar 04 | Attorney | Finra (financial Industry Regulatory Authority) | Columbia, SC |
Job Summary: The Attorney works primarily on internal appeals of FINRA disciplinary actions. This work requires excellent writing and analytical skills and involves interpreting... more | |||
Search BrokeAndBroker
Related Topics
Previous Entries
-
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
The 2015 Flash Crash is the Wall Street gift that keeps on giving. In today's blog we got a FINRA arbitration and two federal lawsuits. Then we got sp... Read On
-
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
Schwab Intelligent Portfolios ("SIP") was advertised as a robo-adviser that didn't charge advisory fees; however, from March 2015 through November 201... Read On
-
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
July 2, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/... Read On
-
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellHighwaymen: The SEC Pulls Off a Brinks HeistAside from pirat... Read On
-
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On