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Certifications:Certified Financial Planner (CFP) - Issuing Authority, 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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Certifications: Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA Company Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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Securian Financial is currently hiring an Internal Sales Sr. Analyst (Internal Annuity Wholesaler) to join our fast-paced sales team working with our annuity product line. Cultivate new annuity sales opportunities and further develop existing financial advisor relationships within the focus list.
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FINRA SIE, Series 7, Series 9/10 or Series 24 licenses required. Must have a strong understanding of a firm back-office and financial reporting functions such as reserve formula, FOCUS report, possession and control, stock record, general ledger, trade blotters, margin requirements, time critical regulatory functions (e.g., buy-ins, sell outs), record retention, access control procedures, and cybersecurity.
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Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable), Registration as an Investment Advisor Representative (Series 65/66), Registration as a FINRA Securities Principal (Series 24/26.
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We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. FINRA Series 7, 66 and 24 licensed or ability to attain within 90 days preferred.
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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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FINRA SIE and Series 6/7 registration or ability to obtain within 180 days from date of hire. Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America.
$57,900 - $86,100 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Prior Experience as a Financial Advisor, Financial Planner, Registered Representative or Investment Representative preferred. A typical agency office has one financial specialist who meets with customers face-to-face and a team of licensed professionals who enhances the team's ability to build deep relationships with customers and provide leads.
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FINRA Series 65 or 66. Strong understanding of general stock market, mutual fund, financial planning, and economic terminologies with a clear understanding of the financial planning process.
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First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients throughout the U.S. Services include securities trading, investment management, estate planning, wealth management and insurance.
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Required: FINRA Series 7/66, or 63/65 combo. The Financial Planning Consultant will also partner with a Financial Service Assistant (FSA) who will offer operational support, allowing the Financial Planning Consultant to focus on the financial needs of clients.
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Under the direction of the CFO, the Controller is responsible for maintaining accurate accounting and financial information for the broker-dealer in accordance with GAAP, FINRA, MSRB, and SEC rules and regulations.
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Full knowledge of all Advisory products (Retail and In Plan) as well as Edelman Financial Engines and Morningstar systems/methodology. 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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Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment. Ability to analyze client needs, understand financial products, complete collaborative discovery with client, and sell tailored solutions.
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