Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
or applications Desired Qualifications: Currently holds FINRA Securities Industry Essentials (SIE) Bachelor’s degree...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
(CAIA) - For alternative investments knowledge Series 7 (General Securities Representative) - FINRA license Series 63... (FINRA) member Crypto Valley Association member Enterprise Ethereum Alliance participant Here's what else you'll need...
. Goal-oriented with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain...
sales position, preferably working with the affluent client segment FINRA Series 7 and 66 or, Series 7 and 63/65... 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/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...