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Qualifications: Bachelor's Degree and 10 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA) OR High School Diploma or GED and 14 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA)License or Certification Type: Finance and Operations Principal Series 27, 7, 63, and 24 Required, Series 53, 65/66 Preferred Skill(s): Knowledge of accounting, securities industry rules and regulations, and computer programming logic.
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Required: FINRA Series 7/66, or 63/65 combo. Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
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FINRA Series 7/66 or 6/63/65 registrations. Lincoln Investment, founded in 1968, is an independent broker-dealer and Registered Investment Adviser with over 1,000 FPs and over $46 billion of assets under management.
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FINRA Series 7, 63 and 65 or FINRA Series 7, 66 (required) PLEASE NOTE: Applicants are required to hold a current FINRA Series 7 and 66 (or 63/65) in order to be considered.
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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3+ years of Sales Supervisory, Branch Compliance, or Supervision within a Broker Dealer/Wealth Management. Active Series 7 and 24 REQUIRED. 3+ years of Sales Supervisory, Branch Compliance, or Supervision within a Broker Dealer/Wealth Management.
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Able to perform the following Financial Transactions: Open/Close Accounts, Deposit checks, Address changes, Payouts Process paperwork Process mail & statements Ebt Reporting, Set up ACH, Mutual Funds transactions, IRA Contribution/Distribution, Saving Bond Calculations, Stock Sale/Purchase, Change of Broker/Dealer, Cost Basis, Set up systematic transfers, IRA Rollovers, Annuities, and research.
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Originate investment services in full compliance with bank policies and regulations, requirements of the SEC, NASD, and the bank's broker-dealer. Need to have series 7 and 66 securities license and State of Montana Life, Disability, and Variable Contracts Insurance licenses.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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Initiates Member investment selections and records transactions with broker/dealer. What You’ll Be Doing Provides excellent service to Members seeking information on alternative investment products offered through broker/dealer.
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Follow the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer. FINRA Series 7 and either 63, 65, or 66 Series licenses (i.e., 7 & 63, 7 & 65, or 7 & 66.
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The successful candidate is a sales assistant holding some licensing that may include Life, Accident & Health Insurance License, Series 6 or 7 & 66 (or 63/65 combo). Some licensing, which may include Life, Accident & Health Insurance License, FINRA Series 6 or 7, & 66 (or 63/65 combo.
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Voya Financial Advisors®, Inc., a leading independent broker-dealer in the defined contribution & defined benefit business, is currently seeking a Financial Professional to join our team in the San Antonio area to work plan sponsor relationships in the education market.
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Series 7 & Series 66 preferred. Some experience working in Finance/Broker-Dealer/Investment background is preferred. Series 7 & Series 66 preferred. Some experience working in Finance/Broker-Dealer/Investment background is preferred.
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Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.
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