Advisor Licensing Program

Responsibilities

• Licensure Testing: Training Advisors will be responsible for passing their SIE, series 7, and series 66 within the first 120 days of employment.
• Book Maintenance : Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check ins and outreach.
• Risk Mitigation : Remain in good standing with various compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations.