advisor or responsibilities, or financial planner roles is essential Valid FINRA Series 7 & 63/66 preferred... strong client relationships with existing and prospective customers We will sponsor candidates for FINRA Series 7/66...
to finish, with minimal direction FINRA Series 7 and 66, strongly preferred (as well as knowledge of federal (FINRA) and state...
provision system) and Oracle Cloud Financials (ERP system) a plus FINRA Requirements FINRA licenses...
mailboxes Ensuring compliance with the company's exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC... of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC...
/Experience: Series 6/7 and 63/66 FINRA registrations preferred Customer service experience required Word processing...
requests Adhere to and maintain the firm's controls policies and procedures and FINRA regulations as well as protecting client... additional products and services Required qualifications, capabilities, and skills FINRA Securities Industry Essentials...
within the diversified industries sector. This position requires a FINRA Series 63 license and a FINRA Series 79 license...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
industry Five years of comprehensive experience as a financial planner or advisor FINRA Series 6 and 63 or higher... (required to be approved to conduct business in all states) FINRA Series 26 and 65/66, or obtain within six months (required to be approved...
be obtained at Edward Jones during the assigned paid study period. FINRA registrations required within three months. State... and regulatory authorities (FINRA and SEC), as well as required CE training to ensure licenses remain in good standing. Awards...