Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
management models. Certifications: FINRA Series 7 and Series 24 licenses. Series 65 or 66 preferred. It Would Be Nice...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
and hold State Life and Health license prior to hire. Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
oversight, and financial planning strategies. Eagerness to engage directly with clients and advisors. Must hold FINRA Series 7... and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). appropriate State Life & Health Insurance license...
&A execution experience Willingness to travel up to 20% of the time Ability to work in the U.S. without sponsorship FINRA... Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
Person, as defined by FINRA. Experience delivering under tight deadlines while maintaining quality standards Excellent...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...