Average salary: $89,554 /yearly
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$125k - $150k
...SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker‑dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM’s affiliate...SuggestedFull time- ...investment and insurance products based on clients’ needs and investment tolerance through LPL Financial, a registered Broker/Dealer, member FINRA and SIPC. Advisors must have the proper professional qualifications and follow strict financial industry rules, and provide client...SuggestedWork at officeRemote workRelocationMonday to FridayFlexible hoursAfternoon shiftEarly shift
- ...txt, rtf LinkedIn Profile How were you referred for this position? If referred by a current AEL employee, please list name. Are you FINRA registered? If so, please list the FINRA licenses you hold and, if the licenses are not active, the expiration date of those licenses...SuggestedRelocationWork visa
$200k
## Managing Director, ECM-Investment Banking (FINRA)-3Applylocations: Ridgewood, NJ - Northland Securities Office: Minneapolis, MN - Northland Securities Officetime type: Full timeposted on: Posted Todayjob requisition id: R-20260908**At Northland, our employees are the...SuggestedTemporary workFor contractorsWork at officeWork from home$80k - $200k
...EXPERIENCEBA/BS degree required.*****2-3 years of relevant investment banking, capital markets, or private equity experience ********FINRA SIE, 7, 63 and Series 79 License (or equivalent registrations) or commitment in offer letter to complete the required registrations...SuggestedWork at office$70.5k - $81.5k
...Client Service Excellence Center Associate Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! At Vanguard, we have a client-first mentality that we live and breathe every day...SuggestedRemote workVanguard
Tallahassee, FL4 days ago$60.5k - $67.5k
...Overview Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of “crew” as a Client Service Excellence Center associate! At Vanguard, we have a client-first mentality that we live and breathe every day through our mission, “to take a stand for...SuggestedRemote workVanguard
Nashville, TN5 days ago- ...you as you navigate our Industry leading training program, working at home and in an Investor Center.* **Obtain Licenses:** Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and...SuggestedRemote workWork from home1 day per week
- ...Charles Schwab &Co., Inc., consistent with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), while maintaining an enterprise-wide view of compliance risks. As an individual contributor, the Manager coordinates with a...SuggestedWork experience placement
$65k - $80k
...About this job: Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a High Net Worth Client Case Representative for our Personal Investor clients at Vanguard. At Vanguard, we have a client...SuggestedVanguard Group, Inc.
Dallas, TX2 days ago- ...capability to monitor and manage the following: Ensuring Vanguard crew are licensed in compliance with federal regulations, i.e. FINRA Tracking crew completion of mandatory Code of Ethics training Guaranteeing customer complaints are recorded, tracked,...SuggestedWork at office
Samprasoft
Malvern, PA3 days ago - ...inquiries, supporting escalations, and ensuring data integrity for financial transactions. Candidates should have a high school diploma, FINRA certification, and six or more years in customer service, ideally in financial services. Strong communication and problem-solving...SuggestedWork at officeRemote workShift work
Remote Jobs
New York, NY4 days ago $69.5k - $80k
...and adherence to strict SLA’s Seeking and providing positive and constructive feedback frequently on all levels Qualifications Active FINRA Series 7 license (this is a requirement). Previous customer service experience at a broker-dealer or other financial institution....SuggestedTemporary workWork at officeWork from homeRelocationFlexible hoursGrabJobs
Seattle, WA1 day ago- ...training and/or mentoring less experienced staff. Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature (FINRA governed) Basic Qualifications High...SuggestedWork at officeShift work
Remote Jobs
New York, NY4 days ago $16.25 - $25.95 per hour
...also be the first step of the career pathing program to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7, & 66 or 63/65 combo). This position is hybrid and part-time. What You Will Do: Act as a liaison between the registered...SuggestedFull timePart timeWork at officeFlexible hoursCetera Financial Group
Iselin, NJ5 days ago- ...environment free of harassment and discrimination. Securities offered through Raymond James Financial Services, Inc., member FINRA /SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Summit Financial Group, LLC is not...Work at officeShift work
Summit Financial Group, LLC
San Ramon, CA3 days ago $21.35 per hour
...This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting. Series 63 - FINRA, Series 6 - FINRA, SIE - FINRA Compensation Pay Range - Start: $21.35 Pay Range - End: $32.02 Northwestern Mutual is an equal...Remote workFlexible hoursShift workNorthwestern Mutual
Madison, WI3 days ago- ...Advisory team, we want to hear from you! Apply today and take the next step in your career with Virginia Asset Management! Securities offered through Cetera Advisor Networks LLC, member FINRA/SIPC. Cetera is under separate ownership from any other named entity....Temporary work
Virginia Asset Management
Chesterfield, VA4 days ago - ...a Financial Advisor to assist clients with their financial planning. Candidates should have a strong sales background, hold active FINRA licenses, and be committed to client success. The company offers extensive support and tools to ensure success in this role, along with...Remote work
Corebridge Financial, Inc.
White Plains, NY4 days ago $160.3k - $272.51k
...Leadership and Regulatory Management Serve as compliance leader for the Wealth division ensuring adherence to SEC RIA regulations, FINRA rules, OCC trust requirements, and state fiduciary regulations Implement and maintain comprehensive compliance programs across...Temporary workFor contractorsWork experience placementFirst National Bank of Omaha
Kansas City, MO3 days ago$110k - $125k
...culture. Aeris transactions typically range in size from $200M to $2+ Billion and the firm is a registered broker-dealer and member of FINRA and SIPC. We are seeking highly motivated technology M&A investment banking Analysts for our San Francisco office with an...Full timeWork at officeImmediate startAeris Partners
San Francisco, CA2 days ago$55k - $121k
...workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company's success. The FINRA Supervisory Specialist Senior reports into PNC Wealth Management, which is a broker-dealer subsidiary of PNC Bank. This role works...Full timeTemporary workPart timeWork experience placementWork at officePNC Financial Services Group
Cleveland, OH26 days ago$24.05 - $25 per hour
...Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us,...Hourly payFull timeFor contractorsWork at officeFlexible hoursCetera Financial Group
El Segundo, CA6 days ago- ...About the JobHold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in today's financial markets. We trade the US Equity Markets only. Our proprietary...Bi-weekly pay
Hold Brothers
New York, NY3 days ago - ...Locations: ~ CHARLOTTE, NC 28202 ~ IRVING, TX 75039 ~1150 W Washington St TEMPE, AZ 85288 This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance...Work experience placementWork at officeRemote work1 day per week
Strategic Staffing Solutions
Irving, TX3 days ago - ...hire a Client Service Associate to support its Independent Network (HTIN) brokerage firm. Hilltop Securities Inc., a member of the FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. Hilltop Securities Independent Network (HTIN) is a brokerage firm, which...Currently hiringWork at officeRemote work
Hilltop Holdings
Dallas, TX10 hours ago - ...entities, including Annaly Credit Opportunities Management LLC, an SEC registered investment adviser (ACOM), Arcola Securities, Inc., a FINRA member broker-dealer (Arcola) and, Onslow Bay Financial LLC, a mortgage aggregator and master servicer (Onslow Bay). The Company is...Work experience placementWork at officeLocal area3 days per week
Annaly Capital Management
Irving, TX1 day ago - ...advisory services. The firm is nationally recognized for its highly ranked proprietary equity research. B. Riley FBR, Inc. is a member of FINRA and SIPC. Job Description and Requirements The Associate role is an experienced level position that supports a client...Flexible hours
FBR & Co.
Arlington, VA5 days ago $75k - $85k
...Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us,...Full timeFlexible hoursCetera Financial Group
San Diego, CA1 day ago$47k - $66.7k
...Financial Services Consultants who are ready to join our coalition of champions. This is a Financial Industry Regulatory Authority (FINRA) Registered role that is primarily responsible for taking inbound calls, providing individual participants with options for retirement...Hourly payWork experience placementWork at officeVetJobs
Frisco, TX10 days ago
