The Licensing and Operations Associate for Copper Financial Network, LLC (“Copper”), a dually registered broker-dealer and registered investment adviser, strives to provide a high level of prompt and accurate service to all internal and external clients and stakeholders. The position is responsible for all licensing activities for associated persons and the firm, including FINRA securities and RIA filings through CRD and IARD, insurance producer and agency licensing, outside carrier appointments, and foreign LLC filings and payments with each state as needed. Additionally, this position is responsible for maintaining certain required regulatory books and records.
Education and Experience Requirements:
Required Knowledge, Skills and Abilities:
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