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Online Resumes with "finra"
Financial Services / Operations - FINRA Series 6 & 63 certified - 6 years experience
Hard working, goal oriented, self-starter seeking to utilize my skills while advancing my knowledge. Dependable team player with a strong work ethic and has the ability to cooperate with a host of diverse personalities and lead when necessary. Proven success working independently and in group settings: diligent, motivated, and meticulous.
Compliance Officer for FINRA broker dealer
Compliance Officer for FINRA member firm in New York City or Long Island
Tags for this Online Resume: Supervision
Featured Profile
Relationship Manager/Communications Manager, Denver
I desire a postion that uses my skills as a proven Business to Business relationship manager, marketing communications manager and leader.
Ideal Companies: Viasat, TIAA CREF, Davita, Johns Manville, Great West Financial, Oppenheimer Funds, Janus Funds,
Tags for this Online Resume:
Relationship Manager, Communications, Financial Services
Risk Manager - FINRA/SEC Compliance - 20+ years experience
Tags for this Online Resume:
Compliance, Risk Management, Financial Services, Broker/Dealer, Investment Advisory, New Jersey
Compliance Registered FINRA
I want to work for a company that will give me the opportunity to use my experience and is in need of a person with my FINRA registration licenses where we both mutually benefit.
Tags for this Online Resume:
Registered, Series 7, 63, Series 9,10, Registered series 24, Licensed, License, Compliance
VP., Trading & Operations, Los Angeles, CA
Successful trading & operations manager for the past 20+ years. Last long term management position, oversaw 72 seasoned Independent Investment Advisors. Many of these advisors and I had followed each other through the past three mergers. I've gained their trust and respect since I have been in their shoes as a sales advisor and trading expert.
Tags for this Online Resume:
Operations Manager, Trading Manager, Compliance Manager, Fixed Income, Options, FINRA
Licensed Relationship Manager - 2 years Experience
I'm a Financial professional who has their FINRA Series 6 and Series 63 Licenses. I have experience dealing with investment products, credit products, and managing portfolios. I am looking for a new career opportunity in which I can exemplify my skill set.
Tags for this Online Resume:
Financial Analysis, Credit Analysis , Business Managment, Financial Planning, Equity Research, Financial Consulting
FINRA Series 6 Registered Rep - 11 years experience - Annuities
Private Banker
Goal driven, motivated, experienced, creative sales person with high values and 14 years of investment sales experience.
Ideal Companies: Wells Fargo, Chase.
Tags for this Online Resume:
Banking, Sales, Investments
Featured Profile
WEALTH MANAGEMENT PROFESSIONAL
Results-driven investment professional with an excellent track record achieving financial goals of high net worth clients. Executive-level leader with demonstrated aptitude for building, training, and coaching top-performing financial advisory teams to achieve ambitious revenue goals. Superb relationship builder with an extensive network of contacts in the Salt Lake City area and across the country. More than 13 years of su...
Ideal Companies: Edward Jones, TIAA-CREF, Morgan Stanley, Zions Bancorporation
Tags for this Online Resume:
Strategic Planning, Risk Management, Financial Analysis, Business Development, Expense Control, Consulting, Negotiations, Team Leadership, Motivation, Client Relations, Wealth Manager, Wealth Management, Account Management
Financial Manager, Branch or Department
Tags for this Online Resume:
Finra series 7,24,63 and 55, AML compliance, Options, equity
Relationship Manager/Communications Manager, Denver
I desire a postion that uses my skills as a proven Business to Business relationship manager, marketing communications manager and leader.
Ideal Companies: Viasat, TIAA CREF, Davita, Johns Manville, Great West Financial, Oppenheimer Funds, Janus Funds,
Tags for this Online Resume: Relationship Manager, Communications, Financial Services
WEALTH MANAGEMENT PROFESSIONAL
Results-driven investment professional with an excellent track record achieving financial goals of high net worth clients. Executive-level leader with demonstrated aptitude for building, training, and coaching top-performing financial advisory teams to achieve ambitious revenue goals. Superb relationship builder with an extensive network of contacts in the Salt Lake City area and across the country. More than 13 years of su...
Ideal Companies: Edward Jones, TIAA-CREF, Morgan Stanley, Zions Bancorporation
Tags for this Online Resume: Strategic Planning, Risk Management, Financial Analysis, Business Development, Expense Control, Consulting, Negotiations, Team Leadership, Motivation, Client Relations, Wealth Manager, Wealth Management, Account Management
