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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 24-year track record of serving the investment needs of credit unions and their members. A minimum 2 years of experience in a support, sales, or administrative capacity in a financial service or sales environment Excellent organizational and communication skills Investment Sales Assistants are employed and may be registered through CFS (Member FINRA/SIPC.
Part-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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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.
Full-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. Representatives are employed and registered through CFS (Member FINRA / SIPC.
$18 - $21 an hourFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Set up and maintain client files with appropriate information and in accordance with FINRA compliance standards. Set up and maintain client files with appropriate information and in accordance with FINRA compliance standards.
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Knowledgeable of FINRA, DTCC, NSCC, OCC and SEC rules and securities trading processes and applicable regulations. FINRA Series 7/63 (Series 24 preferred) Client Onboarding and Integration: Serve as the dedicated RIA advocate, bridging internal teams, external third parties, and RIA customers.
$119,000 - $164,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Representatives are employed by and registered through CFS (Member FINRA/SIPC). Licenses and Registrations: FINRA Series 7, 63/65 (or 66) and Life, Accident and Health Insurance licenses.
Starting at $250ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Must have intermediate PC skills and be experienced with adviser software programs such as Orion, Salesforce, custodian platforms, as well as filings systems such as Edgar and FINRA. Experience with Basis Code and Red Oak is a plus.
$115,000 - $140,000 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. A sound understanding of the Broker/Dealer and RIA marketplace. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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KWB Wealth is an independent Registered Investment Advisor (RIA) based in Southern California that provides personalized financial planning and investment management services to individuals, families, and businesses.
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Active and valid FINRA Series 24 license required (may be obtained under a condition of employment) Demonstrated expertise in all aspects of the RIA industry including technology, operations, practice management, compliance, fee structures and the competition.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Licenses and Registrations: MA certified Life, Accident, & Health Insurance license and current FINRA Series 6, 63 & 65; or Series 7 & 66 licenses. This includes submitting materials for broker-dealer compliance approval prior to use.
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CUSO Financial Services, L. P. (CFS) (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members.
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We are an RIA with a collegial and collaborative environment that provides planning and investment advisory services to individuals, charitable organizations, and businesses along the CT Shoreline.
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CFS (Member FINRA / SIPC ) is a broker-dealer and RIA with a stable, 20-year track record of serving the investment needs of credit unions and their members. Licenses and Registrations: FINRA Series 7, 63 (65 or 66 preferred) and Insurance license.
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The Regulatory Enforcement team within LPL’s Legal department is dedicated to managing complex regulatory matters with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA.
$121,920 - $182,880 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago
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