). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
3+ years of experience at a brokerage or within a licensed financial services environment. FINRA Series 7 and 63... required. FINRA Series 3 and Series 66 licenses are preferred and must be obtained within a certain amount of days of employment...
and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
. Licenses in insurance and FINRA Series 6 and 63 preferred....
during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...