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Series 65 or combination of Series 7 and Series 66 license required unless candidate holds one of the following credentials: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC.
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Certified to work as an Investment Adviser Representative (Series 65, Series 7 + 66, or equivalent) We're a team of former founders and operators from Goldman Sachs, Square, Paypal, Brex, Facebook, Airbnb, and Uber. We are backed by top Silicon Valley VCs including Thrive Capital and Index Ventures, with a supporting cast of executives from Focus Financial and other industry titans.
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Discounts on Alternative Medicine, Chiropractic, Fertility Advocacy, Pet care, Prescriptions, Lab Testing, and Diabetic Supplies. We are a team of former founders and operators who have started and sold two companies and bring over two decades of experience from Brex, Facebook, Airbnb, Uber, DoorDash, and Square.
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We hire/acquire wealth managers with existing books of business and supercharge them with proprietary technology that streamlines CRM, Back Office, Operations, Client Services, Compliance, Marketing, and Lead Generation to help them dramatically scale their financial advisory practices.
$100,000 - $500,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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SRC Indicator: Series 7; Series 63; Series 65; Series 66. 5+ Years Required; 7+ Years Preferred. SRC Indicator: Series 7; Series 63; Series 65; Series 66.
$160,000 - $170,000 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Must have either Series 7 and Series 66 OR Series 65. Advise clients in the areas of investment, tax retirement, education, insurance and estate planning, working closely with the Managing Director, Relationship Manager and Director of Operations to support overall planning needs as well as company objectives.
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FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required. FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required.
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May study and test for additional licenses (Series 7 and Series 66) once the minimum licensing requirements are met. For the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: 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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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. This list of states is subject to change and Series 65 (or equivalent) licensing requirement would be based on current state requirements during employment.
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Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to qualify for immediate registration. Knowledge and understanding of Branch Banking compliance controls, risk management, and loss prevention.
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SIE, Series 6, 63 & 65 or Series 7 & 66 and State life license required or willingness to obtain. We are an affiliate company of both USI Securities, Inc. (a broker-dealer, Member FINRA/SIPC) and USI Advisors, Inc. (a federally registered investment adviser) and a wholly owned subsidiary of USI Insurance Services LLC. We are a team of 600 associates and growing.
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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire. Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
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Series 7 and series 66. Ensure appropriate documentation related to KYC/ AML from the client and ensure all aspects of client records and documentation are completed and updated.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA Category: Sales. Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA Category: Sales.
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series 7 66 jobs in Bethesda, MD
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