Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
combination of education and professional work experience FINRA Series 7, 63 registrations & 65 or 66, CRPC or CFP... required within corporate-established timelines FINRA fingerprinting required 5+ years of experience in financial planning, investment...
is required. FINRA Series 65 required FINRA fingerprinting required CFP strongly preferred Advanced knowledge of wealth management...
, professional demeanor is required. FINRA Series 65 required FINRA fingerprinting required CFP strongly preferred Advanced...
to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides...