Am I at risk if newer members of my team (4-5 months in) still don't have any of their series licenses?

like
Posting as :
works at
You are currently posting as works at

Not sure how he is opening accounts without being registered. Morgan is pretty strict on that stuff right?

like

Why would you be at risk

like

I'm no longer at morgan, I'm at a HF and he's somehow managed to slide by

like

Ie if he's doing a meeting selling securities am I at risk by association? Just checking

What is he an FAA

just take the fcking series exams

Related Posts

Pick your grandma... I’d go for the E-Type but that DeTomaso seems to be a great ride too

Post Photo
like

Boston Consulting Group Sorry if I'm repeating a post.. couldn't find a relevant one.
Can some at BCG demystify the up or out policy? Specifically, How much time does BCG allow to find a new job and does BCG help with the job search?
Thank you.Boston Consulting Group

like

Switching to Tata Consultancy
How are the growth opportunities in tcs ?

This is for FP&A profile.

like
like

Looking for senior accountant position with experience of around 6 years. Tata Consultancy Tata Elxsi Tata Communications Genpact HCL Technologies Infosys Orange Business Services Ericsson Tech Mahindra PwC India Airtel Samsung Capgemini Larsen & Toubro Deloitte India
Any leads would be appreciated.

like

Let's have a poll on our current work setup!
It's about your current work setup and not about your preferences.

Post Photo
helpfulfunnylikeupliftingsmart

Some days it be like that.
How dare you?

Post Photo
likefunny

Dam Funk has a new show on Apple radio called GlydeZone radio as an FYI

like

Anybody know with Amex Platinum if authorized users also get Centurion lounge access? Prepping for Amex removing guests in 2023

like

I’m working on transitioning my company (or at least putting it out there) we should get a née employee perks program. Does anyone have recommendations or like theirs? Would love to know!

I am a mid level litigation associate at a midsized firm in NYC, which means working big law hrs, without big law pay. My hesitation going to big law is getting substantially less control/responsibility over cases I handle and the fact that most mid levels I know are running from big law rather than towards it. Any insight and/or suggestions are welcome.

like

When it comes to legal citations, do you guys italicize or underline case names?

like

I have a question for my fellow PI paralegals in Texas. TPCIGA requires that we submit all medical bills through the clients insurance before proceeding further. The client in question has Aetna. I sent the bills with a cover letter to Aetna via certified mail. I am having so much trouble getting a status on said claim. Does anyone here have experience with that and can assist me? Any help or guidance is appreciated.

like

Hi y’all! Currently taking associates in Health services administration, my graduation prediction would be next year. Any suggestions what jobs I can get to start my career? Also looking forward to continue to my bachelors in the near future but I just want to work first so I can gain experience before I finish my bachelor. Thanks

like

Do any of your companies offer coworking benefits? For instance if you’re fully remote, do they offer a monthly stipend to be used at coworking locations near you? Or anything similar in nature?

like

Anyone in the Maine area, ideally around Bangor looking for a new opportunity in revenue cycle/optimization? New hires encourage to apply.

like

What’s the bonus at YE for SCs in PAS?

like

What do you guys think if away carry on? How do they compare to tumi or rimowa?

like

How are we feeling about The Blues Clues 25th Anniversary promo?

like

I don’t get the hype about the new Spider-Man movie. Yes, it’s a good one, but why do people think it’s the best one yet? Am I missing something?

like

Additional Posts in Finance

Blackrock. Got a informal offer but no follow-up with a contract. Noted they are working on it, but does it really take this long or red flags? How much longer would you wait?

like

My company reimburses CFA exam fees if I clear level the exam and if I stay in the firm for 2 yrs from reimbursement date. I don’t wish to be in the same firm . Can i still apply for CFA scholarship?

like

One of these days where I wake up and I’m like “why/how tf did I get into investment banking??”

like

Knowing that I’m 50% tier in my level, how can I go up to the 75% or the higher end of my level? My manager says I’m a competitive hire but it’s not reflected in the comp. So I’m super confused

like

Is it just me or has there been a noticeable brain drain in banking in the past few years? Analysts are not what they used to be.

like

How do you guys stay up all night working and still look as fresh as a daisy? Meanwhile, I'm here looking haggard and a good ten years older than I actually am.

like

Trading stocks. Anyone notice hedgefunds going HAM with energy stock purchases since November 2021? These bank jobs aren’t about doing pivot tables for some bozo. It’s about looking at the data and conveying a message. Financial Forecasting. Try it. The answers to retirement is out there.

like

Actual friends with co workers?

like

thoughts on the GOP Tax Plan? how does it impact us from a banking perspective?

like

Does anyone here work for Silicon Valley Bank? They recently acquired Boston Private. I’m a candidate for a job at Boston Private. Wondering if SVB is planning layoffs in the near term at BP? Also, does anyone know the anticipated benefits to be rolled out from SVB as the parent company? Specifically interested in health insurance providers. Thanks in advance for any information! Silicon Valley Bank

likehelpful

Has anyone from your group left to a cool job that you were jealous of?

like

What would you say is an appropriate amount to gift a friend for his/her wedding? This isn't a close friend but someone I've known for a while

like

keep hearing UBS advertise internal mobility. is this true or just sales to candidates they're trying to get to take a MO or BO role?

like

What's the dress code at your office? Looking to see how many firms are business casual.

like

My partner (along with his team) has been laid off from an equity research role. He is on H1b visa and has until end of February to find a new job otherwise he’ll have to leave the country. I would be very grateful if someone knows of any sell-/buyside investment analyst opportunities and can refer, please. Years of experience: 9yrs. Always been with II-ranked teams and twice voted rising star. Thank you very much for your time and consideration.

like

What's your Sunday routine to get ready for work on Monday?

like

From associate to VP - what specially to learn

like

Looking for a great espresso machine – willing to pay whatever as long as it lives up to its hefty price tag. Any recommendations?

like

Making $97k this year and not sure where it all went. I feel I should have more saved. Rent is $2,300 and my pet is about $200 a month (food,insurance)

like

Any one have any advice on how to deal with lack of focus and concentration? Been having trouble concentrating the last 6 months and it's bringing me down.

like

New to Fishbowl?

Download the Fishbowl app to
unlock all discussions on Fishbowl.
That was just a preview…
Sign Up to see all discussions
  • Discover what it’s like to work at companies from real professionals
  • Get candid advice from people in your field in a safe space
  • Chat and network with other professionals in your field
Sign up in seconds to unlock all discussions on Fishbowl.

Already a user?
Login here

Share

Embed this post

Copy and paste embed code on your site

Preview

Download the
Fishbowl app

See what’s happening in your industry
from the palm of your hand.

A phone with Fishbowl app

Scan your QR code to download
Fishbowl app on your mobile

Download app

Sign up for free to view this conversation on Fishbowl

By continuing you agree to Terms of Use and Privacy Policy

Already have an account? Log in

Sign up for free to continue using Fishbowl

By continuing you agree to Terms of Use(New) and Privacy Policy(New)
Messaging rates may apply

Already have an account? Log in

For account settings, visit Fishbowl on Desktop Browser or

General

Legal