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Retirement, Investments, Online trading, Asset management, IRA, 401k, Mutual funds, Stocks, ETF, Bonds, Brokerage, Cash management, HSA, 529 plans, Annuities, Life insurance, Benefits consulting, Stock plan services, Investing, and Business news.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Stock Locate Inventory & Direct Market Access: Leverage our extensive tools to enhance your trading opportunities.
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Exemption from the PDT Rule: Operate beyond the restrictions of the Pattern Day Trader rule as a professional proprietary trader. Job Title: Equity Trader. All proprietary equities & options traders are licensed with the SIE (Securities Industry Essentials Exam) and Series 57 (Securities Trader Representative Exam.
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Manage customer onboarding and KYC for Capital One Financial Broker Dealers Manage manual screening processes (Bridger Web) Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions.
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Founded in 1956, Williams-Sonoma, Inc. is the premier specialty retailer of high-quality products for the kitchen and home in the United States.
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If you are a Land Acquisition Manager, Land Acquisition Project Manager or Commercial Broker with site acquisition experience, this may be a great next step for you! If you are a Land Acquisition Manager, Land Acquisition Project Manager or Commercial Broker with site acquisition experience, this may be a great next step for you.
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Pass-through fees for Market Exchange Data, FINRA (if required) and administrative costs. Bachelor's degree in finance, economics, mathematics, or a related field (or equivalent experience). Elite Trading Community: Engage with a network of professional traders for live trade discussions, market analysis, and real-time trade ideas.
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The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser.
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Experience in these positions/industries a plus: Realtor, loan agent, broker, real estate, mortgage broker, DRE, CAR, hotel, Wyndham Destinations: Be a Dream Broker, experience isn't necessary.
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Quick to identify gaps or risk exposures in a dually affiliated broker-dealer and investment advisor and to develop and implement strong checks-and-balances. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
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Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor 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 Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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As a Stock Associate, you keep everything moving seamlessly. Process inbound and outbound shipments, while maintaining an organized stock room. You'll be responsible for efficiently receiving product, making sure it's quickly replenished on the sales floor and tidy and easily accessible in the stock room.
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Support firm committees focused on valuation, broker dealer/trade execution and proxy voting. Familiarity with regulatory advertising rules, ERISA, securities valuation and broker-dealer/trade execution is also a plus.
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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.
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Casual associates must be available to work a minimum of two regularly scheduled shifts on the weekend (Friday, Saturday and/or Sunday) and two during the week (Monday to Thursday).
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