Broker Dealer Jobs in California
1 - 15 of 26
Search Results - Broker Dealer Jobs in California
Cetera Financial Group-San Diego
in business analysisBachelor's degree in finance or a related field or equivalent.Minimum of 3 year(s) of experience in Financial Services Minimum of 2 years in an Independent Broker Dealer environmentAbility to understand business needs and priorities...
Cetera Financial Group-El Segundo
associated with the Broker/Dealer
• Troubleshoot and resolve product or service problems; determining the cause and explaining the best solution to resolve the issue
• Resolve less complex problems immediately and direct complex inquiries to the IT Support...
mindmatch.ai -
Regal Executive Search-Newport Beach
management firm, or broker/dealer.
• Excellent interpersonal and verbal/written skills.
• Proficiency in Microsoft Office applications (Word, Excel, PowerPoint, Office 365, etc.).
• Experience working with a multi-site workforce.
• Successful track record...
appcast.io -
Cetera Financial Group-El Segundo
tools like Salesforce, Envestnet, NetX360, Docupace, RedTail, and others.
• Have previous broker-dealer experience
• Possess a current License; ex: Series 7, 24, 65, 99, etc.
Compensation
The base annual salary range for this role is $49,000 to $52,000...
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Kestra Financial Independent Advisor-Palo Alto (CA)
years of experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance...
resume-library.com -
WGG Wealth Partners, A private wealth advisory practice of Ameriprise Financial Services, LLC-Roseville
with a broker/dealer, financial advisor, mortgage, or banking industry in a customer/client support, paraplanner or related role.
• Strong attention to detail, organizational abilities, and time management skills.
• Ability to work independently and as part...
mindmatch.ai -
RK Partners-Newport Beach
Supplemental Salary, Commissions, Bonuses & Rewards programs
• Vast array of broker/dealer & investment advisory platforms
• Dedicated transition support & firm leadership opportunities
• Product specialists support & Practice management coaches
• Flexible...
talentnest.com -
1 similar job: Chicago
LPL Financial-San Diego
is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity...
Cesna - Recruitment experts worldwide-Los Angeles
the filing of necessary documents, including financial statements, for Reg A offering with the SEC. Hold a regulatory leadership role in a Reg A Series LLC & Broker-Dealer Company.
2. IPO Experience: Lead the IPO process, working closely with underwriters...
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Financial Industry Regulatory Authority-San Francisco
point to the broker dealer industry. Any person or entity that would like to become a broker dealer, or any existing member that would like to materially expand, needs to apply to the MAP group. The MAP team works within rule-mandated deadlines to review...
PlanMember Financial Corporation-Carpinteria
a top-ranked fee-based broker dealer since 2004 and top-ten ranked for new retirement plans added and K-12 retirement plans.
With a mission of making a positive difference for our Partners, Members and Employees, PlanMember provides generous benefits...
trinethire.com -
Financial Industry Regulatory Authority-Los Angeles
point to the broker dealer industry. Any person or entity that would like to become a broker dealer, or any existing member that would like to materially expand, needs to apply to the MAP group. The MAP team works within rule-mandated deadlines to review...
New York Life-Irvine
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
talentnest.com -
9 similar jobs: Huntington Beach, Orange, Costa Mesa, Anaheim, Garden Grove...
Benefitfocus-San Francisco
the division to achieve gross and NNCF goals within our Mutual Fund, SMA and Private / Alternative offerings. He/she will develop a high-performing team to achieve strong sales results across RIAs, Wirehouse and Independent Broker Dealers whilst also ensuring...
PlanMember Financial Corporation-Carpinteria
and private sector organizations. PlanMember has been a top-ranked fee-based broker dealer since 2004 and top-ten ranked for new retirement plans added and K-12 retirement plans.
With a mission of making a positive difference for our Partners, Members...
trinethire.com -
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