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Online Resumes with "Series 7 63 "



Financial Specialist - 20 Years of Experience - Near 34108

My career history spans over 23 of financial/trade operations, investment/client service experience with 13 years in Trust Administration. I focused on analyzing and providing solutions for a complex and high net worth client base while exceeding compliance requirements. I'm looking for a growing company that shares my focus of exceptional client service and excelling compliance regulations. In the past I passed and held S...

Tags for this Online Resume: Order Entry, Receivables, Support, Planning, Statistics, Consultative Sales, Management, Portfolio Management, finance, excel, Investment Associate, Trust Operations, Securities Trading

Customer Service Supervisor - 15 Years of Experience - Near 75082

PROFESSIONAL SUMMARY In August of 2015 I obtained my Texas Real Estate License and established a LLC for the purpose of pursuing Commercial Retail Properties. My duties will touch every part of the process from research and finding properties for sale, through management of the property, on to executing an exit from the property. After 20 plus great years in the Financial Services Industry I took advantage of an opportunity...

Tags for this Online Resume: Communications, Documentation, Annuity, Sales, Financial, Insurance, Series 4, Support, Email, Securities, sales, product demonstrator, brand ambassador, retail, compliance manager

Financial Operations - 13 years experience - New York

Processed client equity, Lepercq de Neuflize & Co.,and Tocqueville Asset Management, New York, NY * Opened, serviced, traded for and reconciled client accounts Oversaw SEC, NYSE, FINRA and Blue Sky compliance filings mutual fund bond and annuity transactions Administered daily operations strengthened client relationships and reconciled accounts Obtained Series 7 63 and 55 licenses . Worked on trade desk

Ideal Companies: Apple, Amazon, Miami Symphony

Tags for this Online Resume: Miami, FL, Management, Data Management, Bonds, Equities, Trading, Settlements, Compliance, International Sales, Hotel, Front Desk, Restaurant, customer service, driver, recruiter, financial, hotel industry, hotel, talent acquisition, South Florida, Fort Lauderdale, FL

Financial Services Sales Agent - 17 Years of Experience - Near 07047

Professional Summary Holder of Series 7 and 63 licenses. Seasoned licensed bond broker with proven record of accomplishments. Strong product knowledge of municipal bonds specializing in zero coupon bonds and bank qualified municipals and familiar with taxable muni bonds. Working knowledge of Bloomberg software and multiple trading platforms coupled with strong communications skills. Highly responsible and thorough, team ori...

Tags for this Online Resume: Inventory, Pricing, Series 7, Security, Retail, Securities, Municipals, Bilingual, Bloomberg, Bonds

Personal Financial Advisor

PROFESSIONAL SUMMARY Experienced, Licensed Professional looking to join a company that offers opportunities for growth and advancement. Excellent Customer Service Skills Sales Experience through previous jobs CORE QUALIFICATIONS Series 7, 63, 65, Life Health Excellent Communicator Variable Annuity Licenses Proven results by cold calling and meeting clients face to face Excellent customer service skills Sales experience thro...

Tags for this Online Resume: Cold Calling, Financial, Annuity, Customer Service, customer service skills, Sales, Series 63, Series 7

Financial Specialist

Professional Summary Holder of Series 7 and 63 licenses. Seasoned licensed bond broker with proven record of accomplishments. Strong product knowledge of municipal bonds specializing in zero coupon bonds and bank qualified municipals and familiar with taxable muni bonds. Working knowledge of Bloomberg software and multiple trading platforms coupled with strong communications skills. Highly responsible and thorough, team ori...

Tags for this Online Resume: Inventory, Pricing, Series 7, Security, Retail, Securities, Municipals, Bilingual, Bloomberg, Bonds

Vice President

SUMMARY - WALL STREET * 15 years (9 years of equity research/investor relations/investment banking and 6 years of money management) experience covering US and Asian Hardware/Software/Cleantech technology companies * Investor relations experience, helping companies reach out to the sell side and buy side communities * Ranked #3 out of 53 analysts, in the Wall Street Journal of Equity Analysts * Nominated for Institutional In...

Tags for this Online Resume: Outsourcing, Wireless, Management, Equity, Equities, PLD, WLAN, Business Development, Consulting, Hedge Fund

Chief Financial Officer

QUALIFICATIONS: * Over 14 years of investment experience and business experience Additional Qualifications: Passed CFA Level 1 exam Passed Series 7, 63, and 65 exams Registered Investment Advisor in the State of Florida Proficient in Bloomberg and multiple trading systems Proficient in MS Office. .

Tags for this Online Resume: Back Office, High Net Worth, Cash Flow, Transmissions, Interest Rate, Equity, Bloomberg, CFA, Economic Trends, Hedge Fund

Recruiter - 18 Years of Experience

Tags for this Online Resume: Full life cycle, Recruiting, Compensation, Sourcing, C Programming Language, Financial, Series 7

Recruiter

Tags for this Online Resume: Full life cycle, Recruiting, Compensation, Sourcing, C Programming Language, Financial, Series 7

Featured Profile

Controller - 20 Years of Experience - Near 66061

CAREER HIGHLIGHTS * Demonstrated success in leadership roles such as Deputy Chief Financial Officer, Finance Director, Finance Manager, and Controller. * Extensive experience within industrious domestic and global environments for prominent companies. * Consistently chosen by senior management to spearhead complex, large scale financial endeavors. * Excellent interpersonal skills, with proficiency in mentoring staff, mainta...

Ideal Companies: Honeywell, Northrup Grumman

Tags for this Online Resume: Enterprise Requirements Planning, Enterprise Risk Management, Financial, Management, Oracle, Oracle ERP, Process Improvements, Financial Industry, Financial Reporting, Management Reporting, SAP ERP, J.D.Edwards ERP, Standard Cost Accounting, Process Cost Accounting, Series 7 Finra License, Series 66 License, Health and Life Insurance License, Board Presentations

Featured Profile

Financial Specialist - 16 Years of Experience. Series 7/63, 65 & 9/10 Brokerage Licenses

To obtain an Associate Principal Examiner position and conduct risk-based examinations of FINRA member firms and registered representatives. Key Strengths Strong knowledge of FINRA rules, and Federal Bank regulations. Motivated leader with strong organizational and prioritization abilities. Areas of expertise include AML/BSA reporting, Patriot Act.

Ideal Companies: FINRA

Tags for this Online Resume: Account Management, ACH, Audit, Banking Industry, HVAC, Management, Microsoft, Microsoft Office, Project Management, Quality Assurance