...financial services sales and/or customer service or related experience.
~ Familiarity with the assigned territory is desirable.
~ One FINRA pre-requisite (the Securities Industry Essentials (SIE) exam) and three FINRA licenses (Series 6, Series 63 and Series 65) are...
Suggested
Remote job
Flexible hours
...advisor role.
Requirements
Bachelor's degree or equivalent experience. Military veterans are encouraged to apply.
Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting.
Satisfactory background check, fingerprinting and...
Suggested
Local area
...up to date on Compliance and firm policies and participate in firm sponsored trainings
Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable
Office Administrative (20%)...
Suggested
Full time
Temporary work
Local area
Flexible hours
Monday to Friday
...within the previous 24 months
-or-
Prior management or business owner experience
Preferred skills:
Life and Health License
FINRA registrations; Series 6 or 7 and Series 63
Previous sales experience
Why New York Life?
From quality training programs to a...
Suggested
...LLC.
Identifies and develops relationships with Wholesalers.
Follows the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer.
Represents the firm and assigned financial institution in relationships with clients, industry organizations...
Suggested
Holiday work
Monday to Friday
...up to date on Compliance and firm policies and participate in firm-sponsored trainings
Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable
Office Administrative (20%...
Suggested
Full time
Temporary work
Local area
Flexible hours
Monday to Friday
...Display good analytical skills.
Provide excellent customer service.
Accredited with the Financial Industry Regulatory Authority (FINRA)
Life/Health Insurance License
Successful track record of meeting sales goals/quotas preferred
BENEFITS:
Salary plus...
Suggested
Temporary work
Work from home
Relocation bonus
Flexible hours
...EOE
Representatives are employed by Apple Federal Credit Union and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members....
Suggested
...Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.)
Obtain and hold State Life and Health license prior to hire.
Obtain and hold the FINRA SIE, Series 6, Series 63 & Series 26 or equivalent prior to hire.
Position Demands
~ Access to an automobile and ability to...
Suggested
Temporary work
Local area
Work from home
Home office
...Coordinate tax engagements and fulfill data requests for timely completion.
Handle debt filings.
Prepare monthly packages for FINRA and other entities as required.
What the company needs in a Senior Accountant :
Bachelor's degree in accounting or finance...
Suggested
Casual work
2 days per week
...member bases.
Responsibilities
Administer and document basic account activity and execution per NFFG process and procedures and FINRA, NASAA, SEC regulations
Conduct periodic review of accounts to communicate account status, explain activities and keep clients...
Suggested
Internship
Shift work
Monday to Friday
...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V
- Full-time agents and their dependents are immediately eligible...
Suggested
Full time
Part time
Fixed term contract
Immediate start
Remote job
...economic markets and use resources to leverage your expertise
Be there in times of need when clients need us most
Qualifications:
FINRA Series 7/6, SIE, and 63/66 are preferred but not required
A basic understanding of the role of a financial advisor or financial...
Suggested
...disability income insurance, and investment products such as mutual funds(1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families...
Suggested
Contract work
...the assigned Branch location.
Certifications:
Certified Financial Planner \u00AE / CFP-\u00AE - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments is a privately held...
Suggested
Local area
Work from home
Flexible hours
...Banking, insurance, or financial experience is an excellent addition to your experience
We will support you while you learn the FINRA licensing material and work to obtain the Series 7 and 66 licenses
Degree and/or other professional certifications are helpful; if...
Work from home
Flexible hours
...skills, communication skills, and relationship skills to support strong customer service for current and new clients
Up-to-date FINRA Series 7 & 63/66 documents are a bonus
Requires a Bachelor’s degree in business administration, finance, or other related field...
...products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as...
...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V
1-Full-time agents and their dependents are immediately eligible...
Full time
Part time
Immediate start
...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/VFull-time agents/advisers and their dependents are immediately...
Immediate start
Currently hiring
...the U.S. financial markets.
OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC.
Applicants have rights under the federal law:
Equal Employment Opportunity is...
Temporary work
Local area
Remote job
Flexible hours
...develop an engagement strategy that supports each client s unique planning needs.
The\u00A0 Expertise \u00A0We re Looking For
FINRA Series 7 & 63 required prior to hire
Series 65 and/or 66 and insurance licenses within 90 days of hire
Minimum 2 years of...
Work from home
Flexible hours
$250k
...Planner (“CFP”) considered depending on other experience, otherwise a minimum of 3 years of experience in financial services industry
FINRA Series 7 and 66 and or 65 strongly preferred
Ability to successfully pass a background and credit check
Experience in an...
Full time
...authentic selves
Training and support
To get started as a Financial Professional, Equitable Advisors will sponsor your pursuit of the FINRA licensing requirements as well as help you navigate state licensing needs.
Our entry level training curriculum is designed to...
Temporary work
Local area
Remote job
...within 12 months of hire
Ability to adapt to a rapidly changing business and technology environment
Nice-to-have
Current FINRA registrations
Financial services experience
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking...
Full time
Flexible hours
...corporate and securities experience. Responsibilities will including preparation of filings with the Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the OTC Markets Group.
Years Experience: (6 - 8)
Specialty:
Bar Requirements:...
...income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve...
Contract work
...disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with...
Full time
Contract work
For contractors
...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V
1 - Full-time agents and their dependents are immediately...
Full time
Part time
Immediate start
Currently hiring
...will have at least 10 years of experience in client management, lending, or a related industry, and must hold or be able to obtain FINRA Series 63, 79, and Securities Industry Essentials licenses within 180 days of hire. Strong business development skills, extensive knowledge...
Full time
Bank staff