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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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FINRA aims to make an impact. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms. Each of these Firm Groups has dedicated FINRA staff with knowledge in regulating risks specific to those business models.
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Must possess and maintain appropriate FINRA registrations (e.g. Series 6 and 63)13. Meet with high net worth and ultra-high net worth clients of assigned advisors as a member of the Integrated Relationship Management (IRM) Team, providing expertise in the areas of insurance planning and risk management.
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AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC. Required Certifications: FINRA SIE & Series 7.
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Noble Capital Markets, a full-service SEC/FINRA registered broker-dealer dedicated exclusively to serving emerging growth companies for 40 years, is looking for an experienced Managing Director - Valuation Analyst to grow our valuation and opinion practice.
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Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations. Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm's trading controls.
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FINRA SIE, Series 6 & 26 or to be obtained within 180 days of employment. FINRA SIE and/or Series 6/7. The FINRA/SEC Compliance department is responsible for ensuring that Mutual of America Securities and its personnel comply with regulatory requirements.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Licensing: Will work to obtain the SIE Securities Industry Essentials Certification and FINRA Series 7, 63 licensing. In our structured program, you will be tasked with completing required training, mastering assessments, obtaining industry licenses and certification (FINRA Series 7 & 63 and SIE) and meeting minimum performance standards.
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Obtain Licenses: Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and Series 66 licenses, fully paid for and sponsored by Fidelity.
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Certifications: You will be given paid time and support to obtain SIE FINRA, Series 07 FINRA, Series 66 FINRA. Series 07 - FINRA, Series 66 - FINRA. We provide all the training you need to develop the skills needed to service customers and study for your FINRA licensing exams.
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Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals. Knowledge of Broker-Dealer compliance, regulations, and requirements. Since 1945, we have specialized in providing small and mid-sized not-for-profit organizations and companies with pension and retirement-related services, along with leading customer support.
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Penn Mutual supports its financial professionals with retirement and investment services through its wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC. Penn Mutual supports its financial professionals with retirement and investment services through its wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC.
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FINRA Security Industry Essentials (SIE) (required within 90 days of passing the Life and Health Insurance exam. FINRA License Series 6 (required within 90 days of passing Security Industry Essentials exam.
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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) Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN.
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Securities offered through Cetera Advisor Networks LLC, member FINRA/SIPC. Advisory Services offered through Cetera Investment Advisers LLC, a registered investment adviser. or are you able to obtain your FINRA licenses (Series 7 and 66) and advanced designations such as Certified Financial Planner.
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finra job in Boca Raton, FL
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