). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Certifications No Required Certification(s) Licenses FINRA Series 7 and 66 (or 63,65) required. Life and Health Insurance... Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
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...
(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...
is preferred FINRA Series 7, 66 (or equivalent), 9/10 (or equivalent), in addition to meeting FINRA continuing education...