Lauderdale, FL. is currently looking for a New Accounts Principal to add to our team. Our ideal candidate will have experience as a Principal working with a Broker Dealer. Duties will include:
Conducting suitability and best interest review of customer accounts to ensure compliance with all applicable regulations and internal policies. Accounts include:
Candidates should have excellent written and oral communication skills, experience with technology understand that this is “people business,” and be able to make decisions independently.
A FINRA Series 7 and Series 24 is required.
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