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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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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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There also is an option to acquire your FINRA Series 7 and 63 licenses depending on Career Path. The Customer Service role is similar to Entry Level Customer Service, Contact Center Representative, Customer Service Representative and Customer Support Representative roles.
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The Value You Deliver You are key to the Fidelity relationship strategy Deepening client relationships through long term mentorship Collaborating with the Relationship Manager team company wide Being responsible for the client contact strategy Building long-lasting meaningful relationships with clients Certifications: Series 07 – FINRA, Series 63 – FINRA, Series 65 – FINRA, Series 66 – FINRA.
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Aptitude to complete FINRA SIE, Series 7 and Series 66 upon hire. Certifications: You will be given paid time and support to obtain SIE - FINRA, Series 07 - FINRA, Series 66 Required to obtain within the first 3.5 months.
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You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 exams (other designations a plus) Ability to specialize in numerous areas from being a Certified Financial Planner, to a junior or senior partner in a firm model, to employee and executive benefits and other specialized areas of focus.
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Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment.
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Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor.
$37,500 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA Company Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry. Develops and maintains content on Regulatory Operations systems and internal websites.
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As the Retirement Services Representative frequently discusses and educates on investment company products and processes financial transactions, they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses.
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2023 First Command Financial Services, Inc. parent of First Command Brokerage Services, Inc (Member SIPC, FINRA), First Command Advisory Services, Inc., First Command Insurance Services, Inc. and First Command Bank. Securities products and brokerage services are provided by First Command Brokerage Services, Inc., a broker-dealer.
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A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance licenses (Life, Health, and Variable) must be active and maintained, or must be obtained within 100-150 days of job entry date.
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Series 07 - FINRA, Series 63 - FINRA. Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire. Series 07 - FINRA, Series 63 - FINRA.
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Required: FINRA Series 7/66, or 63/65 combo. Required: FINRA Series 7/66, or 63/65 combo. Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
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