Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg...
’s degree in a business field or equivalent experience Five years of experience in the retirement services industry FINRA...
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...
and active FINRA Series 7 license required A valid and active FINRA Series 66 or 63/65 license required 3+ years of sales...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
to a rapidly changing business and technology environment Nice-to-have Current FINRA registrations Financial services...
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...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
Authority (FINRA), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements listed... industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance licenses, jurisdictional registrations...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...