Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Industry Regulatory Authority (FINRA), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The..., Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of 66) licenses...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
, Technology, and field teams. Interpreting new FINRA directives and assessing their impact on firm policies and procedures...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
or applications Desired Qualifications: Currently holds FINRA Securities Industry Essentials (SIE) Bachelor’s degree...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
credentials such as FINRA licensing (Series 7, 63, 65, 24, etc.), Certified Financial Planner, Certified Public Accountant...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
-oriented with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain). Our Unique...