(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
. Ensure compliance with regulatory requirements under SEC, FINRA, NFA, CFTC, and other relevant bodies. ~~Suited candidates...
on an as needed basis. Set up and maintain client files with appropriate information and in accordance with FINRA compliance standards... Active FINRA SIE, Series 7, 66 (or 63 and 65) and California Insurance License Financial services industry experience...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
environment Nice-to-have Current FINRA registrations Financial services experience What’s in it for you? We thrive...
requested by financial industry regulators such as FINRA and the SEC. This person will need to have strong critical thinking... Regulatory Authority (FINRA) Series 99 license is required. Other licenses or certificates may be required as dictated...
requested by financial industry regulators such as FINRA and the SEC. This person will need to have strong critical thinking... & Licenses Financial Industry Regulatory Authority (FINRA) Series 99 license is required. Other licenses or certificates may...
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...
' experience within the financial services industry. FINRA Series 27 or ability to obtain within 120 days. Experience... Vacation, Sick Time, Holidays, Volunteer Time Off Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc. FINRA...
within Key (required) Licenses and Certifications FINRA License S6 Upon Hire (required) FINRA License S63 Upon Hire... (required) FINRA Security Industry Essentials (SIE) Upon Hire (required) Life and Health Insurance Licenses Upon Hire...