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Consumers Credit Union , as part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services to its members in the Lansing, MI area.
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The Summit Financial Advisors program is available through a partnership with TruStage and LPL Financial, the largest independent broker-dealer in the U.S. Officially an employee of TruStage, you'll be supported by this strong, combined partnership with over 200 years of experience and the resources of all three highly reputable companies.
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Through its relationship with CUSO Financial Services, L. P. (CFS) Spokane Teachers Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in and around the Spokane, WA area.
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Develop and implement strategic legal and compliance initiatives to ensure adherence to broker-dealer and registered investment advisor laws and regulations. Deep understanding of broker-dealer and registered investment advisor laws and regulations (e.g., SEC, FINRA, state securities laws.
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Through its relationship with CUSO Financial Services, L. P. (CFS) Ardent Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in and around the Philadelphia, PA area.
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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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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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LPL Financial is #1 independent broker dealer in US, a fortune 500 company, with assets under custody and advisory assets greater than 1.4 trillion USD. It’s a fast-growing fintech firm (NASDAQ: LPLA) with greater than 22,000 advisors and more than 1000 institutional wealth managers leveraging LPL’s technology platform and business services.
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Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
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Ameriprise Financial has an opportunity for a Vice President of Broker Dealer and Holding Company Financial Reporting to join our team! As the VP, Broker Dealer and Holding Company Financial Reporting, you will lead teams that manage financial activities in accordance with FINRA, SEC, and other regulatory requirements.
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2 Ranking for Northwestern Mutual Investment Services, LLC based on total 2022 AUM. Sources: Financial Advisor magazine, April 2023. About the job Financial Representative - Northwestern Mutual - Fresno, CA.
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Maintains compliance with all applicable bank, broker/dealer, and state and federal regulations associated with the sale of investment and insurance products. The Financial Advisor offers appropriate investment products to existing and prospective clients and provides ongoing service to all existing clients.
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By partnering with CUSO Financial Services, LP (CFS), the credit union and dedicated Financial Advisor have access to the best of both worlds, a regionally focused financial institution with an engaged member base complemented by large scale broker-dealer with nationwide scope.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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Houlihan Lokey, Inc. (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and financial and valuation advisory.
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financial advisor broker dealer jobs Company: Houlihan Lokey
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