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...
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...
credentials such as FINRA Licensing (7, 63, 65, 24, etc.), Certified Financial Planner, Certified Public Accountant, and Certified...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance... date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage Licensing Act compliant...
, responsible for the preparation, review, and monthly submission of other regulatory reports and filings - e.g. FINRA FOCUS II...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance... date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage Licensing Act compliant...
, responsible for the preparation, review, and monthly submission of other regulatory reports and filings - e.g. FINRA FOCUS II...
's Degree 2. 5-7 years or more of banking experience in portfolio-oriented roles 3. FINRA: Series 7, Series 66, Life, Health... years or more of private banking experience in wealth-focused roles 3. FINRA: Series 7, Series 66, Life, Health...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance... date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage Licensing Act compliant...
services industry 3. FINRA: Maintains proper licenses including Series 7, Series 66, Life, Health, and Variable insurance...