Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
. High school degree, GED, or foreign equivalent. The Securities Industry Essential (SIE) exam, FINRA Series 6, state...
! Who You Are: Bachelor's degree or equivalent. FINRA Licensing required: SIE, Series 7, and 63/65 or 66. Series 24...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...