, as needed. The ideal candidate will have relevant SEC, FINRA or State Securities experience, and/or experience at a law firm working.... Positive attitude and desire to learn. 3-8 years regulatory or SRO experience (e.g., SEC, FINRA) or private sector (e.g...
generation Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
in lieu of Bachelor's) FINRA SIE, S6, and S63 within 90 days of hire (pre-registration preferred) Life & Health within 90...
in lieu of Bachelor's) FINRA SIE, S6, and S63 within 90 days of hire (pre-registration preferred) Life & Health within 90...
your expertise • Be there in times of need when clients need us most Qualifications: • FINRA Series 7/6, SIE, and 63/66 are preferred...
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...
are provided through England Securities, LLC (member FINRA / SIPC). The firm also participates in private equity...
, this could be the perfect fit. What We’re Looking For: Active FINRA Series 7 and 65 licenses. A clean U5 record. Proven experience...
process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles...
management and business development skills FINRA Series 79, 63 and Securities Exam Essentials licenses required or must obtain...
enforcement matters (e.g., SEC, CFTC, FINRA) a plus, but not required. Additional Information Equal opportunities statement...
, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal law: Powered by JazzHR...
. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
agencies such as the SEC, FINRA, and the PCAOB. Demonstrated expertise in trial/arbitration preparation and courtroom...
of FINRA SIE, life and health licenses (licensed role only) before contracting. Satisfactory background check, fingerprinting... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA’s Broker Check for more information...
skills. FINRA Series 7 and 63 licenses preferred. Property and Casualty License ( must have or be able to obtain) Life...