Finra jobs in Dallas, TX

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Financial Professional - TX, Dallas (2593)
AXA - 454 reviews - Dallas, TX
State life and health licenses, FINRA Series 7 and 66 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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Wholesaler - Dallas Metro, Wells Fargo Asset Management
Successfully completed FINRA Series 6 (or 7) and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents) Desired Qualifications...
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Director of Operations
LPL Financial - 200 reviews - Dallas, TX 75215
One of our LPL Branch offices in Dallas, TX is actively seeking a Director of Operations. The Director of Operations provides overall direction for activities
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Examiner - Member Regulation, Sales Practice - Dallas, TX

Finra - 42 reviews - Dallas, TX
FINRA is an. FINRA Careers site, enter. Exemplifies the FINRA Leadership Characteristics. FINRA works to protect investors and....

Financial Advisor Training Program - Dallas

Ameriprise Financial - 503 reviews - Dallas, TX  +1 location
FINRA Series 7, State Securities (S63 or S66), State IAR (S65 or S66) - within 150 days of hire. Financial Advisor Training Program....

Complex Risk Officer

Morgan Stanley - 1,637 reviews - Dallas, TX
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...

Specialized Supervision

Bank of America - 15,226 reviews - Dallas, TX
This is a FINRA regulatory supervisory principal position within Specialized Supervision. Specialized Supervision assists with the regulatory oversight for...

Sales Advisor

GuideStone - 4 reviews - Dallas, TX
Exempts FINRA license 65. FINRA license6 (or 7), 63 and 65 (or 66) required . The Sales Advisor position will advise clients, sell GuideStone’s investment...

Financial Advisor

BB&T - 1,118 reviews - Dallas, TX
Essential Duties and Responsibilities : The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor

Regional Vice President - External Markets - SW Territory

CUNA Mutual - 90 reviews - Dallas, TX
Existing relationships in the independent broker dealer (IBD) space is preferred FINRA Series 6 or 7 and 63 licenses required. Salary Grade 637 Job Purpose:....

Specialized Supervision Principal (Employee Relations Review...

Bank of America - 15,226 reviews - Dallas, TX
This is a FINRA regulatory supervisory principal position with Specialized Supervision. Specialized Supervision assists with the regulatory oversight for...

Suitability Manager

CornerStone Staffing - 115 reviews - Dallas, TX
$85,000 a year
FINRA Series 6 and 26 or 7 and 24 is required. This position requires FINRA Series 6 and 26 OR 7 and 24....

Manager, Fraud Investigations - Capital One Investing

Capital One - 3,159 reviews - Plano, TX
FINRA Series 63. Plano 2 (31062), United States of America, Plano, Texas....
Financial Advisor
USAA - 772 reviews - Addison, TX
Current/Inactive (not expired) FINRA 7. FINRA 66 or 63 and 65. Current/Inactive (not expired) FINRA 63 or 66 (63 and 65)....
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Financial Consultant in Dallas
Comerica Bank - 415 reviews - Dallas, TX 75270
Required to fulfill all regulatory continuing education and regulatory requirements as established by FINRA. Financial Consultant, Comerica Securities....
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