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Were you looking for Series-9 job results?
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Online Resumes with "Series 9"

Series 9/10 Risk Manager - 5 years experience

Regional Operations Manager- Series 9/10 over 20 years exp

Investment Consultant with 10 years experience Series 7 & 66 Licenses

To obtain a mid level / management position utilizing my existing securities licenses and experience while acquiring additional certifications like a Series 9/10, Life, Health, and Accident Insurance and CFP designations.

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

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

General - 18 Years of Experience - Near 85097

PROFESSIONAL SUMMARY: Compliance, Sales Supervision and Financial Services professional with more than 18 years of experience. Holds the Series 7, 9, 10, 63,66, Life, Health and Annuity licenses.

Tags for this Online Resume: Compliance, Financial, Policies and Procedures, Insurance, Annuity, Financial Services, CRPC, Sales Supervision, Series 7, SERIES 9 10, SERIES 65, Compliance Officer

Sales Manager - 17 Years of Experience - Near 33410

"" FA production growth of 45.16%. Ranked #1 in the region and #3 in the country for year over year growth 2007. Growth of total production from $6mm to $10mm in two years. 2005 profitability growth of $541,000 or 66% year over year. Increased Average FA production from 93,476.22 to 285,000.00 in 18 months. Increased average advisors recurring revenue from 26% to 49%. * Visionary, Strategy Execution...

Tags for this Online Resume: Management, Financial, Legacy, Wealth Management, Financial Services, Services, Change Management, Commodities, Due Diligence, Futures