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Online Resumes with "FINRA "



Paraplanner/Financial Operations, Portland, OR

Detail-oriented client services professional with 5+ years experience in the independent financial services industry. Known for utilizing strong technical background and exceptional planning skills to analyze clients’ financial condition and present effective insurance/investment solutions. Chartered Retirement Planning Counselor (CRPC), FINRA series 7 and 63 and Life/Disability/LTC licensed. A productive problem-solver pro...

Tags for this Online Resume: clilent service, Excel, trading, planning

Financial Services Professional

Currently seeking to further my career in the financial services industry, specifically in the area of compliance. Financial services professional with extensive compliance experience establishing strong working relationships with regulators and business partners. Proven success in leading corporate regulatory business functions, developing programs and cross-company initiatives in a fast-paced environment. Successful e...

Compliance Officer

To be a compliance oficer either on the bank-side (BSA/AML, or the brokerage-side (FINRA/SEC [pol;icies and procedures).

Exceptional business development specialist

High energy financial services professional with exceptional interpersonal, communication and leadership skills. Resourceful, creative, loyal.

Ideal Companies: T. Rowe Price, Financial Engines, ADP, MassMutual, John Hancock, 401(k) Service providers

Tags for this Online Resume: Business Development, Relationship Management, Sales Management

Registered Representative - Securities Licensed and Life Licensed

Successful registered representative with over 20 years of presenting and closing cases with Registered Representatives in their various Broker-Dealers or FINRA firms. With proven ability to apply skills in building and managing relationships directly with a firm’s advisors and representatives to achieve client satisfaction and firm profit.

Software Develoment Management / Project Management / Busniess Analyst

Expert in developing systems and new product applications for the financial services industry. Utilizes comprehensive knowledge of financial products, trading administration processes, and leadership to develop, implement, and support systems that increase efficiency and reduce cost. Worked at the NASDAQ Stock Market, UBS Investment Bank, and FINRA, the Financial Industry Regulatory Authority.

Featured Profile

Financial Services Director, Columbus

Seeking opportunity as a Financial Services Professional where broad-scope experience in business development, sales, operations and client relations will provide an immediate and positive impact to the employer.

Tags for this Online Resume: FINRA, Series 24, Director, Sales, Compliance, Series 7

Regional Sales Manager, New York Metro area 24 years experience, Wholesaler, Bank distribution channel

I find that my greatest satisfactions and best personal productivity comes from being able to commit effort, within a 'people oriented' organization, to the achievement of goals which are related to improving the quality of client's life.

Tags for this Online Resume: Regional Sales Manager, Wholesaler, RIA , Financial Planner, Insurance Agent, Finra 7, 24, 66, 63 Life & Health

Featured Profile

Client Relations

I want to advocate for the individual investor. Whether locating lost securites or guiding a loved one through the estate process after the loss of a family memeber, I can use my vast brokerage experinece to solve a miriad of problems and maintain good relations through trying events.

Tags for this Online Resume: onboarding, compliance, client services, KYC, Supervisor, training