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FINRA Series 7/66 or 6/63/65 registrations. FINRA Series 7/66 or 6/63/65 registrations. Lincoln Investment recognized as one of Philadelphia's Top Workplaces each of the last ten years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services.
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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 66 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees.
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Series 7 & 63 licensed; Series 65 or 66 and appropriate state registrations preferred, OR ability to acquire quickly upon hire. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent.
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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 funds1 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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Investment products and services are offered through J.P. 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.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank.
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FINRA and Professional License Sponsorship Charitable Donation Matching Contributions Travel & Employee Assistance and Employee Discount Programs Discretionary compensation based on the colleague's and the firm's performance Applications will be accepted until the position is filled.
$85,000 - $120,000 a yearFull-timeExpandUpdated Today - UpvoteDownvoteShare Job
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Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. A valid and active FINRA Series 7 license required.
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Failure to pass exam/or no attempt to take exam will result in removal from LBE program) FINRA Security Industry Essentials (SIE) (required within 90 days of passing the Life and Health Insurance exam.
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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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The path to becoming a Financial Professional begins with the Pre-Contract CDP Affiliate phase, during which you will study towards obtaining the required FINRA and resident state licenses, with the cost of fees and exam study materials from approved vendors covered by the Company.
$50,000 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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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) Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN.
$70,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Strictly adhere to all rules, regulations and reporting requirements of the SEC, FINRA, all applicable exchanges, regulatory authorities of the state, and all procedures of the broker dealer. Fulfill annual compliance, FINRA, and state insurance continuing education requirements.
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At least 7 years’ experience at law firm and/or in-house position as corporate or securities counsel in finance, technology and/or capital markets sectors; or similar experience in a regulatory agency, governmental body, or industry group(e.g., FINRA, SEC, Congress.
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Qualification requirements include but are not limited to applicable FINRA general securities, agent state law, investment advisory licenses, compliance history, production standards, and required training.
$1 - $124,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday
finra job in Jericho, NY
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