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SRC Indicator: Series 7; Series 63; Series 65; Series 66. FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must be obtained within the first 120 days.
$88,900Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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Either of the following combinations: Series 7 and Series 66 or both the Series 63 and Series 65 Series 6 and the Series 63 and Series 65 Life & Health licensing preferred or will be expected to obtain in the future.
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Securities Industry Essentials - SIE, Active Series 7, 66 (or 63 and 65) licenses. Ensure strict adherence to KYC/AML and other compliance norms. As a Senior Wealth Advisor, you will partner closely with a dedicated Wealth team to meet the financial needs of our Affluent and High-Net Worth clients, including a Wealth Relationship Manager and field experts such as Financial Planners, Insurance Specialists, Portfolio Consultants and Home Lending Officers.
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Hold a Series 65 or 66 licenseor. a CFP, CFA, ChFC, PFS, CIC certificationCurrently advising a $25m+ book of business as the primary advisorSignificant experience as an advisor or in client-facing financial services rolesSignificant experience in delivering financial advice directly to consumersExceptional investment acumen and knowledge of broader planning topicsSignificant experience using financial services technology is preferred but not requiredStrong organizational, leadership, and written communication skills.
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Candidates are required to have an active Series 65 or Series 7 & Series 66 or CERTIFIED FINANCIAL PLANNER™ (CFP®) to be eligible and considered for this role. About the job100% in-office work environmentGreen Tree, PA location (Foster Plaza)An active Series 65 or.
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Certified to work as an Investment Adviser Representative (Series 65, Series 7 + 66, or equivalent) We're a team of former founders and operators from Goldman Sachs, Square, Paypal, Brex, Facebook, Airbnb, and Uber. We are backed by top Silicon Valley VCs including Thrive Capital and Index Ventures, with a supporting cast of executives from Focus Financial and other industry titans.
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Series 7, Series 66, and Alabama life/accident/health insurance. MavenCross Wealth Advisors ® is a private wealth advisory practice of Ameriprise Financial Services, LLC. Our practice vision is.
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Certifications:Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. Series 66 (63/65) and Insurance Licenses preferred or to be obtained upon hire.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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This individual must have the appropriate FINRA registrations, including but not limited to: Series 4, Series 7, Series 24, Series 63, Series 65 and/or Series 66.
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The CSI Principal Control Professional is responsible for conducting supervisory reviews of submitted new account, options, and margin applications; investment and insurance business, and independently decides on approving/declining submitted transactions on behalf of the broker-dealer.
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Certifications:Series 07 - FINRA, Series 63 - FINRA, Series 65 - 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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RETIREMENT PLAN ADVISOR Qualifications: 3+ years of experience in the Retirement Services industry FINRA Series 6, 7, 65, or 66 licensing preferred Professional designations such as AIF, AIFA, CFP, CHRC, CPFA, QPFC, or equivalent Proven track record in B2B sales within the retirement space Strong communication and interpersonal skills Desire to win.
$90,000 - $130,000ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Series 63 preferred (paid training & support provided) Series 7 required. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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CFP, Series 7 and 66 (63/65) – must be current. We utilize the services of LPL Financial, the largest independent broker/dealer in the nation and a Fortune 500 company. Tocco Financial Services remains in the top 0.5% of all LPL affiliated firms year after year, placing us in LPL’s premier Executive Council.
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FINRA Series 7, 66, 9, 10 and Insurance licenses required for position; however, unlicensed candidates considered but required to obtain licenses within 120 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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