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Online Resumes with "Series 4"

Business Analyst

Business Systems Analyst - Team member involvement in project planning and implementation. Transfer Agent representative for mutual fund name changes and CUSIP changes, coordinating with internal and external business partners to ensure timely and accurate changes across all necessary systems. Reconcile and pay mutual fund dividends, plan administration, revenue sharing, networking, and 12b1 fees, to include balancing these...

Ideal Companies: Financial Services

Tags for this Online Resume: Series 7

Financial Planner

Tags for this Online Resume: investments, insurance, Mutual Funds, Annuities, Financial Planning

Sr. Compliance Officer

Professional, Analytical, Personable, Reasonable, resourceful.

Ideal Companies: US Bank, Wells Fargo, Transamerica, Securian, Varde, Deephaven (knight), any invesment bank etc.

Featured Profile

Managing Director

To obtain a position with a team that utilizes my proven sales experience as well as new business development and entrepreneurial experience in a variety of executive roles in financial services.

Ideal Companies: JP Morgan Chase, Northern Trust, Harris, UBS, Citi, Chicago Mercantile Exchange

Tags for this Online Resume: Sales, Business Development, Management , Wholesaling, Marketing, Account Management

Featured Profile

Featured Profile

Financial Specialist

I am looking for a position at which I would be able to use my education and work experience to apply towards a successful career.

Tags for this Online Resume: Wholesaler, Wealth mangement, Risk Management

Featured Profile


find secure salaried opportunity

Tags for this Online Resume: clerical, sales, series 4 and 7 and 63, finance

Featured Profile

Retail Investment Branch manager- Highly Licensed- 10 Years Experience

I'm a Financial Professional with 10 years experience in the Retail Investment Industry. I have extensive experience with Securities regulation, compliance ,and supervision. As well as Investment Operations and Financial Customer service dealing with both Financial Advisers and Clients. I hold FINRA Series 7, 63, 24,4, 9 & 10. I also Hold Insurance Life , Health, and Casualty Certifications.

Ideal Companies: Charles Schwab, Morgan Stanley, AIG, Goldman Sachs, Edward Jones, JP Morgan Chase, BOA/Merrill Lynch, Ect.

Tags for this Online Resume: Operations Manager, Branch Manager, Series 7, Series 24, Compliance, Supervisor, Series 4, Series 63, Series 9, Investment Operations

Featured Profile

Financial Analyst

Motivated communications professional with over 10 years of experience impacting corporate performances in areas of compliance, risk management, sales, client relations, and business development. Creative strategist, identifying, researching, and compiling relevant data and knowledge to support seamless operations at all levels of management. Dynamic leader and team player, able to build strong relationships to ensure teams...

Ideal Companies: USAA, Merrill Lynch, Morgan Stanley, Capital One

Tags for this Online Resume: Compliance, Risk, Reporting, Analytics, Project/Process Management

Featured Profile

Communications - 20 Years of Experience - Near 33544

Looking for a director or associate vice president-level position with a company or organization that values the role communications and marketing play in boosting the bottom line.

Ideal Companies: Publix, Apple, YMCA

Tags for this Online Resume: Branding, Writing, Editing, Leading, Social Media, Graphic Identity, Media, Crisis

Financial Manager, Branch or Department - 20 Years of Experience - Near 10005

Over 25 years of management and leadership experience in financial industry, achieved exemplary results, profitability and organizational efficiency for global institutions: Goldman Sachs, Morgan Stanley/Dean Witter, Bank of America/Merrill Lynch and others. Additionally, has worked with New York Stock Exchange on every major technology upgrade and platform enhancement to guarantee seamless transitional protocols for all ha...

Tags for this Online Resume: Leadership, Innovative Thinking, Strategic Planning , Operations Management , Negotiation, Efficiency Improvement , Relationship Building , Regulatory Compliance