Bunch of bank holidays Good Benefits for FTEs Decent pay
Horrible for Contractors Management is aloof Employees with bloated egos who think the world of themselves when they are just meh. No promotions
My wife's work authorization came through and she got a client facing job at a FINRA registered firm. She'll be taking series 7 and all that. So here's my question: Now as the spouse of a FINRA registered employee what restrictions on my trading can I expect? What's reasonable and what should we p...Read more
Interested in the FINRA Tech positions (SWE or Product Manager) but not much data points online. Can you share your latest TC? Are they open to remote only? Current TC: 130k
Looking for a Broker Dealer to sponsor a 211 FINRA filing for a newly created company. Any suggestions?
Any FINRA employee here? I'll probably be interviewing for FINRA and would like to touch base with someone on tips
I recently learned about the SEC changes in 2020 which designates holders of the Series 7, 65 and 82 licenses as accredited investors. Since I have less than $1MM and don’t make $200K per year I thought I might as well do one of the exams so I can invest in private companies. I plan to take the SI...Read more
Title says it. What would TC be at FINRA in Texas or Florida for a tech principal investigator? TC:$136k #tc #finra #tech #finance
I need to take the exam soon since my manager is pushing.. How did everyone prepare the exam? One of my seniors provided me access to "achievable.me" (website that provides online courses for finance certificates and stuff) to study but seems wayyy too much for short exam. I took CFA Lv 1 and passe...Read more
I’m seeking to increase my TC and am searching for new opportunities. With my Finra experience alongside back office operations and credit underwriting experience, what’s the best career move to make? Mid to late 20s, decent undergrad Business degree.
Title says it. What would TC be at FINRA in Texas or Florida for a tech principal investigator? TC:$136k #tc #finra #tech
I just accepted an offer which is contingent on passing the FINRA exams for the SIE, series 7 and 66. Correct me if I’m wrong, I have to take the exams in that order? SIE, S7, 66? And does anyone recommend an specific study guides, materials, methods, strategy? Really anything helps. I really want t...Read more
Apparently, I will have to prepare for the exams after I decided to work at my current company as a full-time analyst. I have CFA Lv 2 exam coming up this June and not sure how tough it would be to prepare CFA Lv 2 and FINRA SIE. Has anyone taken both and figured what are some major differences? Whi...Read more
Got a bad fill on a market order that caused me 17k in losses (big boy position). Wrote a statement of claim using chat gpt and took TD Ameritrade to FINRA arbitration after they only offered to give me a 2500 credit to fix it. Represented myself pro se and beat TD ameritrades lawyers for 17k + int...Read more
Do you have to have an account in an approved broker to trade options? Can it be Tasty or Robinhood or only monsters like Fidelity?
"the largest-ever FINRA penalty" - well this is gonna be a good ipo. https://www.cnbc.com/2021/06/30/robinhood-to-pay-70-million-for-misleading-customers-and-outages-the-largest-finra-penalty-ever.html
Hi, I want to understand how long does FINRA form checks and completion takes? There is fingerprinting also needed with it. Doesn’t it pose impact/change in originally written joining date on offer letter? I have never done that hence don’t know. TC: $400k YOE: 12 #robinhoodcomp #robinhood #etra...Read more
Hi, I want to understand how long does FINRA form checks and completion takes? There is fingerprinting also needed with it. Doesn’t it pose impact/change in originally written joining date on offer letter? I have never done that hence don’t know. TC: $400k YOE: 12 #robinhoodcomp #robinhood #etra...Read more
Anyone know what it means to report all the investment accounts? What if I got RSU and options from my previous companies?
Trying to see what ppl are investing to build wealth. While stock market is on fire but due to FINRA we can't buy and sell what we want to. Let's help each other with sharing investments strategy. Realstate Crowdfunding 401k Stocks portfolio through Robo advisor #personalfinance #investments #rea...Read more