also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
experience. Military veterans are encouraged to apply. Attainment of FINRA SIE, life and health licenses (licensed role... services. Visit Thrivent.com or FINRA’s Broker Check for more information about our financial advisors. Thrivent provides...
) Certification FINRA License Series 7 or 24 Pay Range: $68,800.00 - $114,600.00 Actual base salary varies based on factors...
. Strong analytical and communication skills. FINRA Series 7 and 63 licenses preferred....
of FINRA SIE, life and health licenses (licensed role only) before contracting. Satisfactory background check, fingerprinting... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA’s Broker Check for more information...
requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
Activity Reporting Rules, FINRA Rule 2165, Regulation S-P and related applicable regulations and state securities legislation... a plus Active and valid FINRA Series 7 a plus Bachelor’s degree preferred (but not required) Have we piqued your curiosity? Can...
ability to obtain within three (3) months of hire. FINRA Series 86/87 licenses or the ability to obtain within one (1) year of hire.... FINRA Series 63 may be required, depending on domicile...