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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. Our broker/dealer powered by one of the world’s largest broker/dealers LPL.
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T3 Trading Group, LLC is a Registered SEC Broker-Dealer and a Member of FINRA and SIPC. Since 2007, we have supported thousands of professional licensed traders across the United States.
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We are seeking a Risk and Compliance professional responsible for assisting broader team in distribution-compliance related matters, with a focus and background in marketing material review, broker-dealer regulatory compliance, cross border distribution compliance, and anti-money laundering (“AML.
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Experience and aptitude with working with broker-dealer technology, i.e., electronic order entry systems, DocuSign, etc. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members.
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BCG Securities (a Horace Mann Company), an independent broker-dealer and Registered Investment Advisor (“RIA”), has been dedicated to its clients for over 50 years. With financial advisors in branches located throughout the United States, BCG Securities is a recognized premier broker-dealer and RIA of choice.
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Required)Must be able to be affiliated with our Broker Dealer. Benefits Additionally, as part of our Total Rewards program, Fulton Bank offers a comprehensive benefits package to those who qualify.
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This position leads the sales activities and efforts of F2F distribution through registered representatives in the independent broker dealer (IBD) and bank/credit union channels. Existing relationships in the independent broker dealer (IBD) space is preferredFINRA Securities Industry Essentials Examination, Series 6 and 63 licenses required.
$97,900Full-timeRemoteExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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BCG Securities, an independent broker-dealer and Registered Investment Advisor (“RIA”), has been dedicated to its clients for over 50 years. BCG Securities, an independent broker-dealer and Registered Investment Advisor (“RIA”), has been dedicated to its clients for over 50 years.
$100,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products.
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Minimum of 4 years of experience in insurance, broker-dealer, and/or investment advisor compliance. This role will be responsible for providing expert advice and analysis on all aspects of our insurance program (Life/Annuity and/or P&C/Specialty) as well as broker-dealer functions, with a particular focus on compliance and regulatory issues.
$170,913 a yearFull-timeExpandApply NowActive JobUpdated 25 days ago - UpvoteDownvoteShare Job
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Learn the role of our regulators and how they influence the responsibility of a dually registered Broker-Dealer and Investment Advisor. Learn the role of our regulators and how they influence the responsibility of a dually registered Broker-Dealer and Investment Advisor.
InternExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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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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Manage Broker dealer relationship – Trading, Sales, Syndicate. We also provide company-paid life insurance and legal services, a retirement pension funded entirely by MetLife and 401(k) with employer matching, group discounts on voluntary insurance products including auto and home, pet, critical illness, hospital indemnity, and accident insurance, as well as Employee Assistance Program (EAP) and digital mental health programs, parental leave, volunteer time off, tuition assistance and much more.
$172,500 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Research and follow up on any issues with the Broker/Dealer, WEG Operations, and vendors. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach.
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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broker dealer jobs in Philadelphia, PA
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