L&R Specialist
Current Employees and Contractors Apply HereAdvisor Group CareersBe a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams.
We're a billion-dollar business with the mentality and drive of a startup.
Join us in building something special.
SUMMARY OF
Responsibilities:
Obtain FINRA and Investment Advisor registrations and state securities licenses for registered representatives Process securities filings via Web CRD and internal Licensing and Registration System Maintain Registered Representative information on the Licensing & Registration System Register branch location with FINRA (WebCRD) Administer customer service to reps regarding securities and Investment Advisor registrations Renewal of registered personnel with FINRA via L&R Monitor and maintain information on regulatory CE for all registered representatives Process insurance carrier appointment requests for registered representatives SUMMARY OF MINIMUM
Qualifications:
Prior FINRA Registration experience preferred Securities license(s) favorable Strong attention to detail is critical Strong organization skills along with the ability to handle multiple priorities Customer service oriented Excellent written and oral communications skills Solid Microsoft Word and Excel experience Some college or equivalent work experience preferred Broker/Dealer industry background preferred Current Employees and Contractors Apply Here Recommended Skills Attention To Detail Communication Coordinating Customer Service Microsoft Excel Microsoft Word Estimated Salary: $20 to $28 per hour based on qualifications.
We're a billion-dollar business with the mentality and drive of a startup.
Join us in building something special.
SUMMARY OF
Responsibilities:
Obtain FINRA and Investment Advisor registrations and state securities licenses for registered representatives Process securities filings via Web CRD and internal Licensing and Registration System Maintain Registered Representative information on the Licensing & Registration System Register branch location with FINRA (WebCRD) Administer customer service to reps regarding securities and Investment Advisor registrations Renewal of registered personnel with FINRA via L&R Monitor and maintain information on regulatory CE for all registered representatives Process insurance carrier appointment requests for registered representatives SUMMARY OF MINIMUM
Qualifications:
Prior FINRA Registration experience preferred Securities license(s) favorable Strong attention to detail is critical Strong organization skills along with the ability to handle multiple priorities Customer service oriented Excellent written and oral communications skills Solid Microsoft Word and Excel experience Some college or equivalent work experience preferred Broker/Dealer industry background preferred Current Employees and Contractors Apply Here Recommended Skills Attention To Detail Communication Coordinating Customer Service Microsoft Excel Microsoft Word Estimated Salary: $20 to $28 per hour based on qualifications.
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