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Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
$80,400 - $155,900Full-timeExpandApply NowActive JobUpdated 1 days ago - UpvoteDownvoteShare Job
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FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within either a 90 or 180-day time period, depending upon number of license(s) needed if not immediately available to transfer upon hire.
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We have an immediate opening for a Financial Advisor (Private Client Banker) to join our team This is a remote (work from home) position. Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
$115,000 - $125,000 a yearExpandApply NowActive JobUpdated 0 days ago - UpvoteDownvoteShare Job
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FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed FINRA Series 7 and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents.
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Registration for FINRA Series 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA Company Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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Wells Fargo will initiate the FINRA review process at the time of offer acceptance. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this.
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For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. Employees who are not fully licensed at the time of hire will participate in the Branch Banking Licensed Banker licensing program as a Relationship Banker LP (SAFE.
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Wells Fargo is seeking a Relationship Banker (SAFE) for our National Branch Network as part of the Consumer, Small & Business Banking division. We ranked #2 on the 2023 LinkedIn Top Companies list - and #1 among financial services companies - as the best workplace "to grow your career" in the U.S. We're especially proud of our tangible, meaningful commitment to diversity, equity, and inclusion in the workplace.
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This list of states is subject to change and Series 65 (or equivalent) licensing requirement would be based on current state requirements during employment. At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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