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Key ResponsibilitiesObtain your required licenses/credentials within 150 days of hire:- FINRA Series 7- Active State Securities Agent Registration (S63 or S66)- Active IAR Registration (S65 or S66) and-State Life, Health Insurance and Variable Products lines.
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Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role.
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In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008. Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm.
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Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records. Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65.
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Must have current FINRA Series 6 and 63 or 7 and 66 Securities Registration (65 a plus). Must have current FINRA Series 6 and 63 or 7 and 66 Securities Registration (65 a plus). Advising strategies for clients in insurance coverage, investment planning, cash management, and other areas to help them reach financial objectives.
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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) will also be required to be completed within a specified period: 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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Position will be remote but must reside in the San Diego Area. Active FINRA registration is a Must! Position will be remote but must reside in the San Diego Area. Active FINRA registration is a Must.
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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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2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas. Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators.
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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. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities.
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Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to qualify for immediate registration. The Nationwide Mortgage Licensing System (NMLS) website ( provides the MU4R questions and registration required for employment in this position.
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FINRA Series 6 within three months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within six months of the date of hire. FINRA Series 7, 24, 52/53, 63 or 65/66 preferred.
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Successfully completed FINRA Series 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed FINRA Series 79 exam to qualify for immediate registration (or FINRA recognized equivalents.
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Registration as a FINRA Securities Principal (Series 24/26). Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable.
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Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable), Registration as an Investment Advisor Representative (Series 65/66), Registration as a FINRA Securities Principal (Series 24/26.
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