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Online Resumes with "Series 7 "
Brokerage Services, New York, NY
Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.
Tags for this Online Resume: Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance
Manager Financial Services Operations - 25 years experience
Manage/Director Operations for a Financial Services Company
Tags for this Online Resume: NASD series 7, NASD series 24, NASD series 65
Fixed Income Trader or Assistant Richmond VA
My career objective is to get back with a brokerage firm or money manager that can utilize my talents.
Tags for this Online Resume: Brokerage, Trading, Compliance, Fixed Income, series 7 24 53 and 63, customer service
Professional Trader and Financial Analyst
Excellent record of achieving sales growth by increasing market share of existing products and integrating acquired product lines; Unique record of expanding security responsibility and financial achievement across multiple investment functions. Exceptional analytical, strategic planning, and research skills.
Ideal Companies: MORGAN, PIPER JAFFERY, INVESTMENT BANKS
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume: Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer
I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...
Retirement Advisor Manager, Houston
To enhance current skills while learning new skills which may broaden my value to the company with which I partner
Tags for this Online Resume: Series 7, Group 1 Insurance License, Series 63 and 66, Senior Financial Planner/Advisor, Retirement planning, Seminar training
