Broker Dealer Jobs in Texas
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Search Results - Broker Dealer Jobs in Texas
Banorte Wealth Management-Houston
POSITION SUMMARY
This position is responsible for supervising registered representatives of the broker-dealer in accordance with FINRA and related regulatory rules and internal supervisory procedures, while also supporting the affiliate RIA...
mindmatch.ai -
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).
Our...
resume-library.com -
1 similar job: Hartford
&Partners-St Louis
About the Role: The accounting team is responsible for managing the accounting and reporting (both SEC and regulatory) of Ampersand Holdings and all subsidiaries including &Partners, LLC, a registered broker dealer. We plan, track, analyze...
mindmatch.ai -
Cassaday & Company, Inc.-Mclean (TX)
RESPONSIBILITITES
Compliance Program Management
• Oversee all aspects of compliance for a SEC-registered investment advisor and affiliated Broker-Dealer.
• Ensure compliance with regulatory filings.
• Maintain the firm's compliance manual, testing programs...
appcast.io -
IMG Financial Group, Inc.-Houston
are in your career, we will provide the guidance and resources required to help maximize your potential as an independent financial advisor, in a team setting, with a ton of support!
What does this mean for you?
• Competitive Broker Dealer Transition...
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 -
JPMorganChase-Fort Worth
through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance...
Kestra Financial Independent Advisor-San Antonio
Bachelor’s degree in a business-related field preferred.
5+ years of experience in financial services, with a solid understanding of broker-dealer operations and investment products (equities, bonds, options, mutual funds, annuities, insurance, managed...
resume-library.com -
JPMorganChase-Dallas
through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance...
Cetera Financial Group-Dallas
and reporting of the financial results of the Broker-Dealer and RIA. The position will assist in implementing process improvements to help the team streamline and enhance efficiencies, promote the analysis and communication of results, and provide proactive...
mindmatch.ai -
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).
Our...
resume-library.com -
Taurus Search-Dallas
My client is an international financial services company seeking a Hedge Funds Credit Analyst at the VP-level.
This position will supply coverage for Hedge Funds and various sectors such as Banks, Broker Dealers, Asset Managers, Insurance Companies...
mindmatch.ai -
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).
Our...
resume-library.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 -
12 similar jobs: Fairview, Celina, Allen, Lucas, Little Elm...
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).
Our...
workable.com -
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