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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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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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Lead the integration of the broker dealer across current and future operating model driving for efficiency and scale. Reporting to the President & CEO of John Hancock Investment Management the role is responsible for the Personal Investing business and is focused on building a cohesive strategy and executing a comprehensive, integrated plan founded in digital excellence to enable significant growth in Retail Wealth capabilities.
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A Financial Advisor with Shell Wealth Services shapes our community and members' financial futures for each stage in their life through enhanced relationships, technology and a strong and supportive partnership with Shell Federal Credit Union and our credit union's broker/dealer.
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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 greater Eugene area to work plan sponsor relationships, including government, retail and private.
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Strong understanding of the assigned business lines landscape and the ability to identify and cultivate a pipeline of prospective dealer and broker accounts preferred. Strong understanding of the assigned business lines landscape and the ability to identify and cultivate a pipeline of prospective dealer and broker accounts preferred.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
$159,000 - $296,000 a yearExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Follows the established guidelines for maintaining client files in accordance with broker–dealer practices and FINRA requirements. Fully utilizes the broker-dealer CRM and processing system for all business related activity documentation.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
$150,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM.
$92,114 - $156,880 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. Morgan Wealth Management is committed to serving clients across all of their financial needs, with offerings ranging from self-directed and automated investing to full-service advisor relationships.
$400 a weekFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Accountable for achieving sales targets and managing broker dealer relationships within all channels - both wirehouses and independent firms covering our ETF's, Separately Managed Accounts and Mutual Funds.
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Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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