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Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all applicable state and federal regulations.
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What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA Company Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and 65 as well as appropriate state insurance licenses required. Financial Advisor, Northern NJ AreaCountry: United States of America.
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Strong experience with the contents and implementation of specific regulatory initiatives such as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC.
$80,550 - $147,675 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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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.
Full-timeExpandApply NowActive JobUpdated 20 days ago - UpvoteDownvoteShare Job
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Series 07 - FINRA, Series 66 - FINRA. We will support you while you learn the FINRA licensing material and work to obtain the Series 7 and 66 licenses. We assist companies and non-profit organizations in delivering benefits to their employees.
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FINRA Series 6 and 63 licensing is required, but candidates with a great sales acumen and a financial background will be considered pending appropriate licensing within the first 30 days of employment.
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Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). As one of our Wealth Management Advisor, Equitable Advisors gives you the tools you need to build your own base of clients.
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Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment.
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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) Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor.
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Active FINRA Series 6, 63 and SIE or must obtain within the first 180 days of employment. 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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FINRA Series 6 and 63. You obtained your FINRA licenses and exhausted your network to sell insurance and investment products to family and friends. Salaried Financial Advisor / Retirement Plan Sales Consultant.
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Build positive relationships with internal colleagues, provide FINRA supervision, auditing, reporting and results for team relative to assigned financial budget. Management experience in all aspects of registered principal and supervisory role within a FINRA member firm required.
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finra job in Whippany, NJ
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