The Principal Investigator, Specialist Teams, conducts high complexity routine and special investigations of FINRA... member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides...
service associates, or licensed investment professionals). State insurance licenses and FINRA licenses (Series 6/63 or Series...
insurance license and FINRA certifications (or willingness to obtain). Our Unique Angle: Meticulous Training and Support...
(SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
experience. Licenses & Credentials: Minimum Required: FINRA Series 7 and 63 or 66. Systems & Technology: Minimum...
a combination of the following FINRA registrations (e.g., Series 7-9-10-24-63-65-66). A successful candidate will have a minimum...
, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance with these... knowledgeable FINRA rule, Securities and Exchange 33 and 34 Acts, and Investment Adviser Act of 1940 Computer proficiency...
notes to accounts. Bachelor’s Degree and FINRA Series 7 & 63 licenses. Established list of accounts and industry...