certification preferred Experience working with the financial industry regulators, including OCC, FRB, SEC and FINRA... of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
and compliance requirements impacting communications retention and supervision in financial services (e.g., SEC 17a-4, FINRA, MiFID...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain). Our Unique Angle...
offer securities through Mutual of Omaha Investor Services, Inc., Member FINRA/SIPC. Investment Advisor Representatives offer advisory...
and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed...
Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...