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Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
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Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. No longer spending time on cold calls and sourcing new clients, you will have the time to deepen relationships and create complex financial plans.
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Certifications: Series 07 - FINRA, Series 66 - FINRA. If you no longer want to spend your time on sourcing new clients and would rather have the time to deepen relationships and create complex financial plans, then join a team that is a stable industry leader.
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all applicable state and federal regulations.
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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.
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You’ll also take charge of your own professional journey by attending the Schwab Service Academy, which provides you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses.
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Products and solutionsTogether with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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Schwab’s service team is at the heart of our firm’s commitment to helping clients own their financial futures. You’ll engage with, and be an advocate for, clients when answering inbound calls, taking ownership, and tackling complex issues to offer the best possible solution.
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We offer a competitive benefits package that takes care of the whole you – both today and in the future: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions Paid parental leave and family building benefits Tuition reimbursement Health, dental, and vision insurance.
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This individual must have the appropriate FINRA registrations including, but not limited to: Series 4, Series 7, Series 24, Series 63, Series 65 and/or Series 66. The Wealth Ops Group Manager is responsible for leading a team of financial services professionals providing specialized and dedicated service to our high-net-worth Wealth Managers and their clients.
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Required maintenance of FINRA Series 66 (or 63 and 65) license. Educates membership on implications of economic, industry trends, tax law changes, estate issues, retirement risks, and other threats to an effective retirement income plan, as well as USAA's financial products and services.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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Obtain Licenses: Be a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity.
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