Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
? Must have: Undergraduate degree or similar qualification with a focus on Business, Mathematics or other quantitative fields FINRA Licensing...
. Follows all rules and regulations to ensure compliance with FINRA or other professional licensure requirements, Nationwide.../Designation: ChFC, CLU, other industry designations desirable FINRA series 6 and/or 26 licenses preferred and may...
Planner license from Certified Financial Planner Board of Standards) and FINRA Series 7 and 66, are required Knowledge of the...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
such as FINRA and the SEC. ⨖ Analyzing complex financial data and investment structures to develop persuasive legal theories... or investment advisers in FINRA arbitration or SEC investigations. ⨖ Advanced proficiency in legal research platforms and remote...
. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency...
degree, GED, or foreign equivalent. The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration...
products, etc) • Securities licensing and FINRA registration (must be affiliated with NYLIFE Securities before offering..., and demonstrating leadership potential early Qualifications: Required Licenses & Certifications Have or be willing to obtain: • FINRA...