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  • Divisional Governance Specialist - Client Relationship Group

    Wells Fargo - SAN FRANCISCO, California
    ... Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to ... including Series 9/10 (or FINRA recognized equivalents) FINRA registration including Series 65 or 66 ...

  • National Risk Officer

    Morgan Stanley - San Francisco, California
    ... industry experience · Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) · Other licenses ... , compliance and risk functions. In conjunction with the Senior Risk Officer (SRO) and the Associate/Regional ...

  • Wealth Management Advisor - San Francisco, CA

    TIAA - San Francisco, California
    ... Indicator: Series 7; Series 63; Series 65; Series 66 Licenses and Certifications Life ... client. • Giving and receiving constructive feedback are hallmarks of your character. • Unlocking the ...