. Successful track record of meeting sales goals/quotas preferred. FINRA Series 6, 63 and 65 licenses preferred. ** I encourage...
), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance...
FINRA licenses required within three months. State insurance licenses required As an associate...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA...
Ensure research complies with FINRA and SEC regulations, firm policies, and procedures, including watch list review... Required qualifications, capabilities, and skills FINRA Series 16 with at least 7-10 years of experience as a Supervisory Analyst, preferably...
in financial services marketing;B2B preferred. Bachelor’s degree in business or marketing;MBA preferred. FINRA Series 7...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...