(required) Licenses and Certifications FINRA Series 7 and 66 (or 63 & 65) (preferred) Certified Financial Planner (CFP) (preferred...
(required) Licenses and Certifications FINRA Series 7 and 66 (or 63 & 65) (preferred) Certified Financial Planner (CFP) (preferred...
preparation of all presentation and review materials. For those colleagues with FINRA Licenses, review asset management and CNS... working with high net worth clients FINRA Series 7 and 63 and 65 or 66 Skills and Knowledge 10 years of experience...
and valid FINRA Series 7 license (may consider a 90-day COE) Active and valid FINRA Series 66 license required (may be obtained...
service experience with strong understanding of banking regulations, FINRA and SEC rules including the Investment Advisors Act...
, Licensing & Certificates · College degree required · FINRA Series 7 and 63 required Professional Experience 8+ years...
) acumen, demonstrated by investment experience or investment credentials (MBA, CFA, CAIA or CIMA). FINRA Series 7 and 66...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
firm and/or in-house setting is required Experience working with a range of regulatory bodies (SEC, FINRA, CFTC, OCC...
successful candidate should have: Strong communication and presentation skills FINRA Series 7 & (63/65, or 66) – (plus) Demonstrated...