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Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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Solid understanding of Broker Dealer operations and Investment Advisor compliance. Provide compliance guidance to the firm's Investment Advisors and Broker-Dealer business.
Full-timeRemoteExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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RJA serves as a clearing broker-dealer and custodian for many of our affiliated broker dealer/ investment advisor subsidiaries, including RJFS and RJFSA. Additionally, RJA provides trade execution, custody, and clearing services to non-affiliated registered investment advisers and introducing broker-dealers through its RIA & Custody Services Division (RCS.
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For wealth managers serving entrepreneurial, small business, and family business clients, our dual RIA and broker-dealer structure empowers earning investment banking fees on client M&A liquidity events and then advising upon and managing the investment proceeds.
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1 - 2+ years of relevant experience; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer. Beacon Pointe Advisors is a multi-billion dollar Registered Investment Advisor with headquarters in Southern California and affiliate offices nationwide.
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Quick to identify gaps or risk exposures in a dually affiliated broker-dealer and investment advisor and to develop and implement strong checks-and-balances. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
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Wealth Management offers services through its registered broker-dealer, registered investment advisor (RIA), and insurance agency subsidiaries and is a leading U.S. tax-focused independent broker-dealer that works with a nationwide network of Financial Professionals operating as independent contractors.
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AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.
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CFS is a broker/dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. ) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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RJA is an investment adviser and full-service broker-dealer dually registered with the Securities and Exchange Commission. RJA also is a member of the Financial Industry Regulatory Authority, the National Futures Association, and the NYSE. RJA’s services include: private client; institutional equity and fixed income institutional sales; investment banking; trading activities; and operations and administration.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
Full-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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For over 40 years, AAM has been a trusted resource for financial professionals and broker/dealers. Proactively conduct outbound sales calls regarding prospecting/profiling, follow-up, investment updates, recognition calls and time sensitive campaigns.
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Prior experience working in financial services at either a registered investment advisor, custodian or broker/dealer. Do you have experience working with Broker-Dealers or Registered Investment Advisory firms.
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Vast array of broker dealer & investment advisory platforms. Securities and Investment Advisor services offered through Securian Financial Services, Inc., Member FINRA/SIPC. Virginia Asset Management is independently owned and operated.
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Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer) Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing.
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