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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.
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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.
$89,400 a yearFull-timeExpandUpdated 2 days ago - UpvoteDownvoteShare Job
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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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Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years' experience. FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with 5+ years' experience.
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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 Series 7 and Series 24 licenses required. Knowledge of FINRA, SEC and other regulatory rules and regulations. FINRA Series 7 and Series 24 licenses required. Prior relevant compliance experience with a Broker Dealer or Investment Advisor.
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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) People who work for public schools, colleges, universities, hospitals, nonprofit organizations and municipal governments can save for retirement through a 403(b) tax-sheltered annuity (TSA) and 457(b) employee-deferred compensation (EDC) plans.
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Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC. Licensing: Will work to obtain the SIE Securities Industry Essentials Certification and FINRA Series 7, 63 licensing.
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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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Series 27 FINRA license OR broker/dealer license. Ensure compliance with all regulatory requirements, specifically those related to the Financial Industry Regulatory Authority (FINRA). Series 27 FINRA license OR broker/dealer license.
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FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire. Series 07 - FINRA, Series 63 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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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. Failure to pass exam/or no attempt to take exam will result in removal from LBE program)FINRA License Series 6 (required within 90 days of passing Security Industry Essentials exam.
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