Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
) and our Pension Risk Transfer business. FINRA SIE and Series 6 required at time of application and you will be required to get... is a plus. License/Certification/Designation: Technical financial services designations such as FINRA, CPCU, CLU, ChFC, FLMI considered...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
, philosophy, organization, programs, policies, and procedures FINRA Series 7, combination of NASAA Series 63/65or 66 registration...
background preferred FINRA SIE, Series 7, and 63 required Knowledge of the various product sub-sets within the Equity, Fixed...
offer securities through Mutual of Omaha Investor Services, Inc., Member FINRA/SIPC. Investment Advisor Representatives offer advisory...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
of employment: Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series... 6 or equivalent and FINRA Series 63). Resident Life and Health appointment must be attained. Salary Range...