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In this role, you will work with a team of external and internal wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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Required QualificationsObtain and maintain appropriate registrations to provide oversight on broker/dealer operations and develop advisor training. Active State Securities Agent Registration (S63 or 66) or ability to obtain within 150 days Active Life, Accident/Health, and Variable Contracts insurance licenses or ability to obtain within 150 daysMaintain Investment Advisor Representative registration in investment advisor representative states with a place of business (Series 65 or 66) or ability to obtain within 150 days 3+ years of people management and 4+ years of professional experience.
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Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
$250,000 a yearExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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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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As a Broker Dealer Regional Consultant. The position will cover National, Independent and Regional Broker Dealers across the Orange County, San Diego, and Inland Empire markets. Investment industry designations such as Chartered Financial Analyst (CFA) or Certified Investment Management Analyst (CIMA) desired.
$177,500 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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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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Assist the Chief Distribution Officer in maintaining and nurturing broker-dealer contacts. Represent Capital Square at industry, broker-dealer and corporate events as needed.
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Broker Dealer, Correspondent, and Vendor Relationship Management. Utilize/tune Secondary Marketing systems such as Compass Analytics to support loan level pricing for fair value, MSR, interest rate risk and hedging.
$100,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Obtain and maintain appropriate registrations to provide oversight on broker/dealer operations and develop advisor training. AAG Ameriprise Advisor Group. Maintain Investment Advisor Representative registration in investment advisor representative states with a place of business (Series 65 or 66) or ability to obtain within 150 days.
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As a registered broker-dealer, NYLIFE Securities has the resources to help clients maximize their financial opportunities and maintain their wealth. NYLIFE Securities LLC is a subsidiary of New York Life Insurance Company that provides clients with world-class brokerage services and a wide range of investment options.
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The Regional Vice President – External Wholesaler will develop and manage consultative relationships with existing National, Regional, and Insurance Broker Dealer advisors within the territory of: CA, OR, WA, NV, ID & MT.
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Initiates Member investment selections and records transactions with broker/dealer. Provides excellent service to Members seeking information on alternative investment products offered through broker/dealer.
$66,560 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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We are a non-captive broker dealer, meaning we're partnered with some of the top companies in our industry, including Nationwide, Prudential, Transamerica, Fidelity, and more, so those are the products and services that we market and represent.
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Gather, review and verify conditions, work with broker, dealer and/or borrower to get items needed to complete loan package. The accurate and timely processing of: A) List of needed conditions to fund to dealer, broker or borrower AND B) Completed loan packages to end lender.
$26 an hourFull-timeExpandUpdated 4 days ago
broker dealer jobs in Garden Grove, CA
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