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Securities Industry Essentials (SIE), Series 7, 66 and 24 is required unless a fully licensed Director of Private Bank Sales (7, 66 and 24) reports into the Regional Private Bank Managing Director and assumes the supervisory responsibilities for the Private Bank licensed employees.
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Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date. Experience with and in-depth knowledge of the equity and fixed income markets and alternative investments, including Hedge Funds, Private Equity and Real Estate.
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Must have the ability to obtain the Series 7 & 66 licenses within 16 weeks of hire and to pass the examination portion of the CFP by the conclusion of the program. Study for your Series 7 and Series 66 exams and begin studying for the CERTIFIED FINANCIAL PLANNER™ exam.
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Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. A valid and active FINRA Series 7 license required.
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Basic brokerage licenses (Series 7, 66). Basic brokerage licenses (Series 7, 66). Certified Financial Planner (CFP) or similar license required. Additional licenses (CPA, CLU, CIMA, etc.
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Series 65 or combination of Series 7 and Series 66 license required unless candidate holds one of the following credentials: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC.
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Required: FINRA Series 7/66, or 63/65 combo. 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.
RemoteExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable), Registration as an Investment Advisor Representative (Series 65/66), Registration as a FINRA Securities Principal (Series 24/26.
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Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. Achieved additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
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The Financial Planning Consultant will also partner with a Financial Service Assistant (FSA) who will offer operational support, allowing the Financial Planning Consultant to focus on the financial needs of clients.
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FINRA Series 7, 66, Life and Health Insurance licenses preferred. FINRA Series 7, 66, Life and Health Insurance licenses preferred. An understanding of ERISA and fiduciary considerations.
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Need to successfully attain FINRA SIE and series 7 and 63 (or 66) within first 6 months of employment. You will also provide support for field wholesaler(s) as a home office point of contact and help to resolve complex questions regarding the entire Allspring mutual fund and Separately Managed Account line-up.
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Registration as an Investment Advisor Representative (Series 65/66). Registration as a FINRA Securities Principal (Series 24/26). Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable.
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Initiate proactive calls daily, to prospects, and existing clients to initiate new business development and grow assets under management. Coordinate paperwork with the support of the Financial Service Assistant to open new accounts.
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