). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
or equivalent (Bachelor's degree preferred) - Five or more years of investment industry experience preferred - FINRA SIE, Series 7... industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ensuring regulatory standards...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
Strong communication and organizational skills Strong verbal and written communication skills and strong interpersonal skills FINRA...
offer securities through Mutual of Omaha Investor Services, Inc., Member FINRA/SIPC. Investment Advisor Representatives offer advisory...
’s degree Active FINRA Series 7 license (May be obtained with a 120-day condition of employment for certified and current... CFP® designation or CFA® designation holders, verified before hire) Active FINRA Series 66 license (May be obtained...
employees and leaders at all levels in the enterprise FINRA Series 6 and SIE (and/or others as required by the position...
+ Years Preferred FINRA Registrations SRC Indicator: Series 7;Series 63 Licenses and Certifications Life and Health...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
. Education & Credentials: CLU®, B.S. Business Management (Finance & Psychology), Roger Williams University;FINRA Series 6, 7, 24...