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First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses, fully paid for and sponsored by Fidelity.
Full-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Certifications: You will be given paid time and support to obtain SIE – FINRA, Series 07 – FINRA, Series 63 Required to obtain within the first 3.5 months. Series 07 - FINRA, Series 63 - FINRACompany Overview.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment. Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment. Prospect and network for middle-market clients by identification of qualified names and making initial contacts.
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FINRA Series 6 within three months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within six months of the date of hire. FINRA Series 7, 24, 52/53, 63 or 65/66 preferred.
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Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC) Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Possess FINRA and State Insurance licensing certifications (Series 7, Series 65 or 66, and Life and Health Insurance). Possess valid FINRA and State Insurance licensing certifications (Series 7, Series 65 or 66, and Life and Health Insurance.
$75,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees. Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire.
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Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 66 - FINRA. The Series 7 and 66 or 63/65 are required, additionally we would want you to obtain the Series 9/10 and Insurance licenses within 60 days of hire.
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Perform all related job duties and office operations in accordance with established Credit Union, RIA and Broker Dealer policies and procedures. Priority Financial Group (PFG) in its relationship with TruPartner Credit Union , is looking to add a Financial Advisor to work in their Cincinnati Ohio market.
$125,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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We provide all the training you need to develop the skills needed to service our customers and study for your FINRA licensing exams! Aptitude to complete our industry-leading paid development experience will fully prepare you to engage with customers while taking the SIE, Series 7 Top Off and Series 63 exams.
Part-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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U00A0We provide all the training you need to develop the skills needed to service our customers and study for your FINRA licensing exams! This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent.
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ResponsibilitiesVice President, Threat Management & ResponseJob Description:Humana is a Fortune 50 market leader in integrated healthcare whose dream is to help people a. Specific knowledge of rules and exemptions governing hedge funds, private equity funds, ’40 Act Funds and commodity pools helpful.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Compliance management OFM (online file manager), maintain licensing, remain FINRA compliant, monitor CE requirements, firm element, office inspections, continuing education. Leverage natural market, network marketing and centers of influence to drive new client acquisition.
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Follow all Bank policies and FINRA regulatory compliance standards; Reports To: Glenn Schnell, VP & LPL Financial Advisor. Series 63 or 66; Assist Financial Advisor in training branch personnel regarding investment products and services.
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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.
ExpandApply NowActive JobUpdated 12 days ago
finra job in Covington, KY
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