(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
estate appraisers, brokers and agents, and securities brokers (FINRA). Although we would prefer...
best practices to improve products, processes, or services. FINRA Requirements FINRA licenses...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
in a way that encourages creativity and continuous improvement. Requirements: FINRA Series 7/66 3+ years brokerage... concurrently independently and efficiently in a fast-paced environment. Preferences: FINRA Series 24, 9/10 Bachelor’s degree...
also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE...
Qualifications FINRA Series 6, 63, 65 or 66 (for positions supporting the retirement business) Experience working in financial...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
to a rapidly changing business and technology environment Nice-to-have Current FINRA registrations Financial services...