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Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial, and FINRA. Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial, and 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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2023 FirstCommand Financial Services, Inc. parent of First Command Brokerage Services,Inc (Member SIPC, FINRA), First Command Advisory Services, Inc., First CommandInsurance Services, Inc. and First Command Bank. Securities products andbrokerage services are provided by First Command Brokerage Services, Inc., abroker-dealer.
$125 - $150Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V. Standard & Poor’s (AA+), Moody’s Investors Service (Aaa), and Fitch (AAA.
$75,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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CPA license, or CFP (Certified Financial Planner license from Certified Financial Planner Board of Standards) and FINRA Series 7 and 66, are required. CPA license, or CFP (Certified Financial Planner license from Certified Financial Planner Board of Standards) and FINRA Series 7 and 66, are required.
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You will set up and maintain client contact records with appropriate information and in accordance with FINRA compliance standards. You will maintain and service accounts, ensuring proper and complete client documentation aligned with FINRA and broker-dealer requirements.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
$400 a weekFull-timeExpandApply NowActive JobUpdated 6 days ago
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