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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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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA). The firm is an active underwriter of new issue ABS, CMBS and MBS and is also active in the secondary markets.
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Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees. Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA.
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Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements.
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Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies. Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies. Conducting due diligence investigations in connection with prospective investments.
$350,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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As a Relationship Banker in Branch Banking, you will take a lead role in delivering an outstanding experience to Chase customers. 1+ year of experience in Retail banking sales, Financial services sales, Consultative relationship sales role in a related industry, with proven success in establishing new clients, deepening customer relationships and delivering results.
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The Wealth Management Advisor builds comprehensive financial plans and wealth strategies to prepare their customers for future goals and cash flow needs through a sound and efficient savings, investment, and tax strategy.
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FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance licenses. CFP preferred or CTFA, CFA, CPA, JD or MBA.
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A Potential TikTok Ban?!
As you may already know, there has been a lot of talk lately about the possibility of a TikTok ban. While this has not yet come to fruition, it's important to consider the implications this could have for businesses and recruiters who rely on TikTok as a platform to market their brand, recruit new talent, and connect with their audience.
The Effects of Workplace Racism and Sexism
One day it's a covert statement to a mother returning to work after maternity leave. Another day it's a lingering gaze at an employee enjoying a culturally rich meal. These microaggressions (or sometimes macroaggressions) can take an employee from a confident, high-performer to one that feels insecure being themselves at work. Your employees engage with people with different ideas and feel most comfortable and valued when they can work without losing their cultural, racial, and gender identity. While most employers know this, why have workplace racism and sexism often been neglected?
When Rage Applying Strikes: How to Identify Unserious Candidates
As the job market remains highly competitive, we have seen a surge in "rage applying." This is when candidates apply to multiple jobs, often without considering whether they are truly interested in the role. Rage applying goes hand-in-hand with quiet quitting. Often, employees want to entertain the thoughts and feelings of leaving their job, but they aren't necessarily serious about leaving yet. Meanwhile, other employees engaging in this trend are actually trying to find a better role. As a recruiter, it can be hard to identify who are the real applicants in a sea full of quiet quitters, but understanding rage applying and identifying red flags will certainly help.
How to Increase Job Ad Exposure
In today's competitive job market, writing quality job ads is critical for attracting top talent to your organization. While networking and candidate referrals are prime real estate for finding qualified candidates, nothing beats the tried-and-true method of writing an extraordinary job ad. But while writing a great job ad is the first step, what's more important is increasing visibility. You could have the most detailed, well-written ad on the internet, but if no one sees it, then you are wasting time (and potentially money!). Employers often believe that job boards are the root of the problem, but you can learn how to increase job ad exposure by tweaking a few steps of your recruitment process.
How to Navigate Hiring Out of State
The job market has shifted significantly in recent years. The accelerated adoption of technology has not only pushed many companies into remote working arrangements but also increased the availability of supporting tools and technologies (i.e., video conferencing and collaboration software).
Building a Candidate Pipeline Through Internships
Building a candidate pipeline through a great internship program for local college students and recent graduates at local universities is a great and cost-effective way to attract and retain top talent. By offering meaningful and impactful work experiences, regular feedback, coaching, and mentorship, you can create a positive internship experience that will make your organization a sought-after destination for future employees. This not only benefits the organization in the short-term but also in the long-term, as you'll have a pool of well-trained and experienced candidates who may be interested in full-time employment once they graduate. Furthermore, building relationships with local universities and college students can increase brand awareness and build a positive reputation for your organization in the local community.
Hiring Transparency
Transparency in hiring refers to the open and honest communication and information sharing that takes place between employers and job candidates. It encompasses all aspects of the hiring process, from posting job descriptions to providing feedback on performance during and after the interview process. In today's job market, hiring transparency has become increasingly important for both employers and candidates alike.