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Compensation Range: $80,600 - $175,400 Similar Jobs (3) Audit Manager - Capital Markets/Broker Dealer locations New York time type Full time posted on Posted 10 Days Ago Audit Manager - Industrial Goods locations 2 Locations time type Full time posted on Posted 17 Days Ago Audit Manager - Lending locations 6 Locations time type Full time posted on Posted 30+ Days Ago.
$80,600 - $175,400 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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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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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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Perform all related job duties and office operations in accordance to established Credit Union and broker dealer policies and procedures. Possess FINRA and State Insurance licensing certifications (Series 7, Series 65 or 66, and Life and Health Insurance.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
$140,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated 10 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.
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The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered.
$75,000 - $80,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC.
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Broker/dealer knowledge of opening new accounts. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law.
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2+ years of successful sales experience specifically in originating equipment finance transactions in a broker business model and/or comparable experience at an F&I Department of an equipment dealer or the equipment finance department of a specialty lender or bank.
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The Relationship Manager, Broker Dealer, is responsible for new business development in the Western region for both the Independent Broker Dealer and Wirehouse Channels. Understanding of various broker-dealer platforms.
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Provide support to our advisors and end-clients with the navigation and use of various systems associated with the Broker/Dealer. Provide support to our clients in all aspects of the Cetera Client and Advisor Portals.
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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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CFS (Member /) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. Ranked as one of the top broker-dealers in the industry, we work with many of the top financial institutions throughout the country.
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broker dealer jobs in Torrance, CA
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