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  • Financial Advisor III Lafayette LA (USA)

    Capital One - Lafayette, LA

    experience FINRA Series 7 License FINRA Series 66 License or FINRA Series 63 License and FINRA Series 65 License PREFERRED QUALIFICATIONS: 5+ years of Financial Advisor experience 3+ years of Financial Services administration experience...

    9 hours ago from Capital One

  • Director of Network Office Supervision

    United Talent - Charleston, WV

    le laws, regulations, and company policies. Four year degree or equivalent work experience required. Ability to travel as needed. Licensing, contracting, and registration requirement: FINRA SERIES 7 and 66 required. State Life, DI,VL and...

    4 hours ago from RegionalHelpWanted

  • Compliance and Operations

    Cnbs - Alpharetta, GA

    Summary: Independent Institutional Broker/Dealer, Member FINRA/SIPC, with a SEC Registered Investment Advisor, is seeking Compliance and Operations assistant manager. The Compliance Specialist will report to the companys CCO and must have...

    14 hours ago from ZipRecruiter

  • Analyst

    Esae Capital Partners - New York City, NY

    skills Firm is a registered Broker / Dealer with FINRA and the US Securities and Exchange Commission Location: Manhattan, New York Required experience: 2 - 5 years Minimum required education: Bachelor's Degree Job category: Desired...

    13 hours ago from Doostang

  • Client Services Associate

    This Highly Successful Wealth Management Group - Oak Brook, IL

    re to help others · Team player with excellent interpersonal skills and a high degree of self-confidence. · A four-year college degree preferred · Relevant professional FINRA securities registrations area plus. If you do not have at least...

    3 hours ago from ZipRecruiter

  • Financial Advisor

    Seacoastbank - Orlando, FL

    Registrations and Professional Designations Required: FINRA Series 7, 63, 65, 66 Registrations Florida Life Health & Variable Annuity Insurance license CFP, CHFC, CLU preferred We are proud to be an EEO/AA employer M/F/D/V. We maintain a...

    3 hours ago from ZipRecruiter

  • Financial Advisors (South Florida)

    Cjs Financial - Fort Lauderdale, FL

    he necessary qualifications, we will contact you via email or phone. All inquiries are kept 100% confidential. Thank You Securities offered through Newbridge Securities Corp. Member of FINRA, SIPC. CJS Corp. is not affiliated with...

    6 hours ago from ZipRecruiter

  • Capital Markets Team: Advisor Sales & Trading

    Halen Capital Markets - San Antonio, TX

    Required: FINRA Series 7 and 63 licenses Clean CRD Desired Skills: Fixed Income Sales, Markets, Trading and/or Operation ... that Exhibit: 2 years financial industry experience FINRA Series 24 and 65/66 or other Licenses or Professional...

    21 hours ago from ZipRecruiter

  • Financial Advisor

    New York Life - Barnstable, MA

    40 Financial Advisers offer investment advisory services through Eagle Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance...

    6 hours ago from ZipRecruiter

  • Financial Advisor

    State Bank - Michigan

    federal & state regulations and related internal Cetera/FINRA procedures, including the bank’s Non-Deposit Investment ... banking and personal development as required by Cetera/FINRA. A client introduction to all financial institution...

    18 hours ago from ZipRecruiter

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