. Goal-oriented with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain...
of experience in insurance and financial services. Strong communication and interpersonal skills. Licenses in insurance and FINRA...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
should have. Required Qualifications: Must be able to read, write, and speak in Spanish or Chinese/Mandarin (or Cantonese). FINRA Series 7 and 63... in trading, engaging with clients in a proactive and consultative manner. Preferred Qualifications: FINRA Series 9-10...
that all aspects of the business are implemented, and operated in strict accordance with FINRA, SEC, and industry best practices... activities align with FINRA, SEC, and other applicable regulatory frameworks. Develop and maintain policies, procedures...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
processes and systems. FINRA licenses such as SIE, Series 7, 66 and insurance About Our Company We’re a diversified...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...