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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Private Wealth Management brings financial strategies across retirement, investment, tax, and estate planning to protect, grow and transfer assets in an integrated way.
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The Principal Financial Group is seeking a Director of Sales - Retirement Solutions to join our team. Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63.
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Drive retirement plan sales throughout the market by calling on advisors to promote the sale of defined contribution and defined benefit products targeted for retirement plans in the 0 - 10M AUM or 0-25 AUM space for the right experience.
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Expert knowledge of broker dealer and securities environments, FINRA, and insurance regulation, with working knowledge of distribution channels, personal lines, producer and sales leader education and onboarding, rate plans and product offerings.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
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FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years experience. + Achieved additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC.
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FINRA Securities Industry Essentials (SIE), Series 7 and 63 (or equivalent) must be obtained within 90 days of employment. Discuss Individual Retirement Accounts, such as Traditional and Roth IRAs.
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Familiarity with FINRA/SEC reporting rules is a plus. - Discretionary bonus eligibility- Medical, dental, and vision insurance- HSA, FSA, and Dependent Care options- Employer Paid Group Term Life and AD&D Insurance- Voluntary Life & AD&D insurance- Paid vacation plus paid holidays- Retirement plan with employer match- Paid parental leave- Wellness Programs.
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Identified representative will show strong sales and customer relationship experience, a full understanding of retirement and retirement income planning, full adherence to FINRA/DOL fiduciary standards (including delivery of service against those standards) and will be dedicated to delivering an outstanding customer experience with every customer interaction.
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We are seeking a Regional Director in Franklin Templeton's Insurance, Retirement, and 529 channel who would be responsible for covering the Midwest region. FINRA Series 7 and 63. Execute business plan that aligns with the goals of the Insurance, Retirement, and 529 channel.
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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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Thorough understanding of mutual funds, securities pricing, account registrations, retirement plan processes, and SEC/FINRA regulations and guidelines. FINRA Series 6 within six (6) months and Series 63 within ten (10) months of hire.
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Understanding of mutual funds, FINRA /SEC regulations and guidelines, retirement plan processes, etc. Obtain the following: FINRA Series 6 within six months of hire and Series 63 within ten months of hire.
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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.
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Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment.
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finra retirement jobs in Chicago, IL
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