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Maryland Financial Advisor Positions
Rockville
Series 24 Financial Advisor
Raymond James Financial Services
Lois Weaver
3202 Tower Oaks Blvd
Suite 400
Rockville, MD 20852 |
Position: Series 24 Financial Advisor
Phone: 301-770-6800
employment@spcfinancial.com |
Chief Compliance Officer/Supervisor of Branch Operations 1. Identify, interpret, implement and enforce SEC, NASD, state, B/D and SRO rules and regs. 2. Handle SEC, NASD and B/D audits. 3. Review and approve new accounts, trading, cashiering, security handling and correspondence. |
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