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FINRA Series 7 and Series 24. FINRA Series 7 and Series 24. Solid understanding of broker/dealer/investment advisor regulatory requirements. 10 years of experience reviewing and approving Investment Advisor/Broker Dealer marketing materials.
Full-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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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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Obtain state insurance licenses (life, health & variable contracts) and Series 7 and 66; Series 7, 65 and 63; or Series 6 and 63 registrations. Whether you’re a seasoned financial professional, just entering the workforce or looking for a career change, you could be a successful Thrivent financial advisor if you’re:Self-motivated, independent and driven to succeed.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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To sell investment advisory services, Series 65 or 7 & 66 licenses would also be required. FINRA Series 6 or 7 and 63 (if applicable) licenses. Note: Life and Health, and FINRA Series 6 & 63 (if applicable) licenses are required.
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FINRA SIE, Series 7, Series 9/10 or Series 24 licenses required. Develop and implement periodic monitoring and testing of functions performed in the Operations, Finance, and IT departments in support of D.A. Davidson’s FINRA Rule 3120 and 3130, and Investment Adviser’s Act Rule 206(4)-7 testing and reporting programs.
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Any of the following designations: CLU, ChFC or CFP; Series 7 and/or Series 24, Series 6, Series 63, Life, Accident & Health licenses. Any of the following designations: CLU, ChFC or CFP; Series 7 and/or Series 24, Series 6, Series 63, Life, Accident & Health licenses.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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May study and test for additional licenses (Series 7 and Series 66) once the minimum licensing requirements are met. Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period.
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FINRA Series 7, 63, 65 or 66 license, and applicable state insurance license. The Wealth Management Advisor (WMA) position is the investment planning and investment and insurance products lead on the Wealth Management Team. The WMA is responsible for facilitating the delivery of strategies and capabilities including portfolio management, trust administration, investment advisory and insurance.
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FINRA Series 7 and 66 licenses required, Life & Health insurance preferred. Experience working with LPL Financial custodial platforms ideal. We drive innovation, reaching beyond boundaries and thoughtfully explore new horizons.
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Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. You will be making the lives of customers easier by sharing and setting up self-service options to access their accounts 24 hours a day/ 7 days a week.
Full-timeExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Complete the pre-requisite Portfolio Associate Training Curriculum.
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Fully Licensed/Registered (Series 7, 66)- NOT required to apply. Fully Licensed/Registered (Series 7, 66)- NOT required to apply. Our growing company is searching for qualified candidates for the position of financial advisor.
$60,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Certified to work as an Investment Adviser Representative (Series 65, Series 7 + 66, or equivalent) Discounts on Alternative Medicine, Chiropractic, Fertility Advocacy, Pet care, Prescriptions, Lab Testing, and Diabetic Supplies.
Full-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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This role is responsible for the development and implementation of an integrated marketing plan and digital strategy for the Financial Advisor / Private Wealth Advisor team. The Director of Marketing & Communication is a senior level position on a Financial Advisor / Private Wealth Advisor team.
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Licensing: FINRA SIE, Series 7 & 63. Ability to work during the hours of 7:00 am – 6:00 pm CST. Comfortable with talking on the phone as their primary activity. Internal Sales Consultant II - ETF Specialist is to increase sales of Allianz products through direct contact with financial professionals, lead generation, and external wholesaler support.
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series 7 jobs in St Paul, MN
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