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US: Current Registration for FINRA series 6, 63, and 65 are required for the role. Ensure that KYC/AML and other compliance norms are strictly adhered to. US: Current Registration for FINRA series 6, 63, and 65 are required for the role.
$68,340 - $102,510 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63). Non-sales positions have the opportunity to participate in a bonus program.
$100,100 - $135,300 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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Work with Compliance in drafting, updating and applying policies and procedures for investment management and distribution functions, as well as providing support in connection with relevant registration/disclosure forms (e.g., Form ADV and Form BD), regulatory exams and FINRA licensing/supervision matters.
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FINRA Series 7 securities registration preferred. Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide.
$80,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Grayscale Bitcoin Trust (BTC) (the “Trust”) has filed a registration statement (including a prospectus) with the SEC for the offering to which this communication relates. Grayscale Investments, LLC (“Grayscale”) is the parent holding company of Grayscale Advisors, LLC (“GSA”), an SEC-registered investment adviser, as well Grayscale Securities, LLC (“GSS”), an SEC-registered broker/dealer and member of FINRA.
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Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
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Registration for FINRA Series 9/10 and 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
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Successfully completed FINRA Series 7, 9/10, or 24, and 63 or 66 exams to qualify for immediate registration (or FINRA recognized equivalents). Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
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FINRA Series 7, combination of NASAA Series 63/65or 66 registration and state Life & Health Insurance License. Identify account irregularities, potential fraud and abuse, governed by Bank Secrecy Act (BSA)/Anti- Money Laundering (AML); document/inform management and/or other appropriate areas of potential security breach.
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Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008.
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Upon required licensing and SAFE registration, the Relationship Banker LP (SAFE) employee will transition to the Relationship Banker (SAFE) role. The Nationwide Mortgage Licensing System (NMLS) web site ( provides the MU4R questions and registration required for employment in this position.
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The Principal Financial Group is seeking a Director of Sales - Retirement Solutions to join our team. Drive retirement plan sales throughout the market by calling on advisors to promote the sale of defined contribution and defined benefit products targeted for retirement plans in the 0 - 10M AUM or 0-25 AUM space for the right experience.
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Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. As such, upon active employment with JPMorgan Chase, you will be required to either register on NMLS, or to update your existing registration as necessary to grant access to and reflect your employment with JPMorgan Chase.
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