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Finra jobs - Collegeville, PA

Viewing 1 - 10 of 214 jobs

  • Senior Wealth Financial Advisor

    Vanguard - Valley Forge, PA

    experience Certified Financial Planner designation required FINRA Series 7, 65 and 63 licenses (or ability to obtain within 120 days of assuming position) Minimum of five years related financial planning and client relationship management...

    30+ days ago from Vanguard

  • Agency Distribution Manager

    Farmers Insurance Group - Cherry Hill, NJ

    of registered reps to ensure that they meet SEC, FINRA, and all other broker/dealer requirements. Focuses on building and maintaining exclusive agent relationships with AgencyPoint and Home Office employees to support individual agency...

    30+ days ago from Farmers Insurance Group

  • Regional Sales Director

    Aria Retirement Solutions - Philadelphia, PA

    broker/dealer policies and procedures as well as applicable FINRA (Financial Industry Regulatory Authority), SEC ... and state securities laws and regulations Current knowledge FINRA, SEC, Broker/Dealer compliance requirements Required...

    30+ days ago from Doostang

  • Licensed Financial Services Representative - state insurance license + series 6 & 63

    Allstate Financial Rep - Philadelphia, PA

    sales experience State Life/Health Insurance Licenses FINRA Series 6 and 63 Securities Licenses A strong track-record of success Visit our website at to learn more becoming an Allstate Personal Financial...

    12 days ago from CareerBuilder

  • Financial Representative

    First Investors - Philadelphia, PA

    work experience First Investors is a member of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute) ASBO (Association of School Business Officials) NTSAA (National Tax Shelter Account Association) ASPPA...

    30+ days ago from

  • Human Resources Generalist

    Dubin Group - Bala Cynwyd, PA

    and SSAT assessments, background, reference and FINRA checks. · Support the implementation and data management of applicant tracking system. Wellness · Work to support and integrate wellness activities into HR function to include...

    7 days ago from

  • ERISA Attorney

    Ascensus - Dresher, PA

    knowledge of associated regulatory agencies (e.g., SEC, FINRA, NAFCU, FDIC, OCC, OTS) Demonstrate functional knowledge of retirement income planning strategies Ancillary Laws Demonstrate knowledge of the various business structures (e.g.,...

    12 days ago from CareerBuilder

  • Private Banker UL (SAFE) 1

    Wells Fargo - Philadelphia, PA

    state life insurance license; Series 7 and 66 or 7 and 63 FINRA licenses; Series 65 FINRA license where required by the state in which the position is located. This position requires S.A.F.E. registration at the time of employment. The...

    12 days ago from CareerBuilder

  • Licensing Supervisor

    Lincoln Investment Planning - Jenkintown, PA

    corporation and its individual representatives; federal (FINRA) and state securities registrations, investment ... renewal process, E&O insurance certifications, and FINRA CRD disclosure review and updates. Supervisory...

    12 days ago from CareerBuilder

  • Financial Services Representative

    Mass Mutual Eastern Pennsylvania - Center Valley, PA

    LLC; MML Investors Services, LLC, Member FINRA and SIPC ; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. For more information, visit or find MassMutual on Facebook , Twitter , LinkedIn , YouTube and...

    12 days ago from CareerBuilder

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