abilities and excellent business judgment with the ability to multitask FINRA Series 79, 63 and Securities Exam Essentials...
record of developing and coaching high performing Advisor team Ability to travel 50% of the time A valid and active FINRA... Series 7, 66 (or equivalent) is required A valid and active FINRA Series 9/10 (or equivalent...
Fluent Portuguese and/or Spanish speaker preferred FINRA Series 79 and Series 63 licensed Interested? At Scotiabank...
, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital... Knowledge of financial services compliance practices, including monitoring and testing, as required by the SEC, CFTC, FINRA, NFA...
Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
are affiliated with NYLIFE Securities (member FINRA/SIPC), a Licensed Insurance Agency. Financial Advisors are affiliated with Eagle...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing...
FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal employment...
; this will include FINRA Series 7 and 63 training. Responsibilities 40% of time Make proactive, outbound sales calls to financial... Required. FINRA Series 7 and 63 must be obtained within 90 days of employment. SIE required (by start date). Professional...
and Compliance Counsel. In this role you will assist with the oversight of an SEC registered investment adviser, with a related FINRA... to private funds and/or registered funds or a FINRA registered broker-dealer is required. Familiarity with both the Advisers Act...
. Licenses in insurance will be required, and FINRA Series 6, 63 and 65 preferred....
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...
FINRA-registered roles for which in-office attendance for the entire workweek is required. We are an equal employment...
not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the...
with experience in crafting engaging copy for marketing materials. Regulated environment experience required. FINRA, SEC...