Broker Dealer Jobs in Texas
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Search Results - Broker Dealer Jobs in Texas
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU...
resume-library.com -
Prospera Financial-Dallas
decisions on a day-to-day basis and escalate issues and concerns to the Sales Supervision Team Lead
• Knowledge of equities, mutual funds, annuities, alternative investments, and other securities products
• Knowledge of broker dealer and investment adviser...
mindmatch.ai -
Kestra Financial Independent Advisor-Cypress (TX)
services industry, allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts
Previous...
resume-library.com -
Financial Industry Regulatory Authority-Dallas
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...
11 similar jobs: Boston, Rockville, Boca Raton, Los Angeles, Denver...
Kestra Financial Independent Advisor-Fort Worth
industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience...
resume-library.com -
LPL Financial-Austin
At LPL, we believe that objective financial guidance 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...
Legacyknight-Dallas
strategies to mitigate risks as needed.
Qualifications & Experience
• 10+ years in investment management, ideally with a family office, RIA, asset manager, broker-dealer, foundation, or endowment.
• Expertise in global markets, focusing on both public...
appcast.io -
LPL Financial-Austin
that LPL has to offer!Why LPL? At LPL, we believe that objective financial guidance 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...
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing twoSECregistered broker-dealers alongside a cryptocurrencybrokerage all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our core...
jobvertise.com -
IQ-EQ-Dallas
as broker-dealers or investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry...
resume-library.com -
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU...
workable.com -
Austin
Position Summary:
The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory compliance functions for the broker-dealer operations. This role ensures that all financial reporting, regulatory filings...
icims.com -
New York Life-Murphy (TX)
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
talentnest.com -
LPL Financial-Austin
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 and growth...
LPL Financial-Austin
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 and growth, a leadership team that is supportive...
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