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Financial Advisor
Cetera Financial Institutions - Saint Petersburg, FL
Completion, and approval of, pre-hire process, including FINRA, criminal and credit background check. FINRA Series 7 and 66 (or Series 7 and combination of 63...
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Financial Advisor
Follow the established guidelines for maintaining client files in accordance with company practices and FINRA requirements....
Licensed Financial Advisor
Capitol Financial Partners - Vienna, VA 22182
FINRA Series 66. FINRA Securities Licenses Preferred. As a top producer, insurance and FINRA Series 6 or FINRA Series 7 licensed, you’ve built a sizable...
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Jr Portfolio Manager and Trader

J. Gaudet Associates, Inc. - Portland, ME 04101 (West Bayside area)
Understanding of trading regulations (SEC, FINRA, etc.). Knowledge of markets and experience with Tamarac or similar trade order systems, desired.Understanding...
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Equity Trader Trainee

Chimera Securities LLC - New York, NY 10011 (Chelsea area)
Trainees are sponsored by Chimera for the FINRA Series 57 license and will be required to take and pass the exam prior to the start date of the training program...
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Compliance Analyst

Ameriprise Financial - 620 reviews - Minneapolis, MN
Job Description Help develop and maintain a Compliance program at the heart of protecting our customers assets and the investing public. Assess new rules,

Financial Services Representative

T. Rowe Price - 202 reviews - Owings Mills, MD  +2 locations
Our mission as a leading investment management firm is to help our clients achieve their long-term financial goals. We believe our associates are the key to

Associate-Trading, SEC8717HLEQ

Goldman Sachs - 877 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 7, 63 and 55 eligibility required. Associate-Trading with Goldman Sachs & Co....

Robinhood Customer Support Representative

Voxpro - 9 reviews - Folsom, CA
Process compliance documents and adhere to all SEC and FINRA regulations. Here are Voxpro we are excited to be partnering with Robinhood, one of the Bay Area’s...
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Service Rep II

Northwestern Mutual Life Insurance Company - 27 reviews - Franklin, WI 53132
FINRA registration may be required. FINRA Series 6 (or obtained within a specific time frame). At Northwestern Mutual, we believe relationships are built on...

Investment Banking Associate

CTX Capital - Dallas, TX
FINRA Series 63. No personal history of enforcement actions by the Securities Exchange Commission, FINRA, or any state securities regulatory bodies....
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Vice President, Relationship Manager - Southeast

Athene - 18 reviews - West Des Moines, IA
Familiarity and knowledge of the Bank Financial Advisor and multiple Bank distribution software platforms Life & Health, FINRA Series 6 (required within 6...

Unarmed Security Officer - FT (FINRA)

SecTek, Inc. - 3 reviews - Rockville, MD
$14.70 - $15.90 an hour
SecTek selects its officers for the long term. Our officers are career-minded professionals dedicated to protecting the interests of those we serve. SecTek is
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Financial Advisor
Retirement Planning Associates - Tysons Corner, VA
FINRA Series 6 or 7 and 66 or 63; Ideal position for newly licensed Advisors with less than 5 years experience!*....
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Supervisor Brokerage Operations
Cambridge Research Investments, Inc. - Fairfield, IA
Cambridge Investment Research, Inc., a national leader as a securities broker/dealer, has an opening in the Operations department for a full time Brokerage

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