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Licensing, Appointment and Registration Services Associate


Plymouth, MN
Job Code:
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Job Details

Position Title: Licensing, Appointment and Registration Services Associate
Job Code: 446338
Job Location: Minnesota-Plymouth

The associate will use FINRA’s CRD system and internal systems to complete regulatory filings and documentation for registered representatives of Prudential’s broker dealers. The candidate must demonstrate proficiency in applying FINRA registration and state qualification rules to complete assigned tasks, including identifying and escalating issues as warranted.

The successful candidate must effectively manage multiple facets of securities and registration, and other related processes. Position responsibilities include but are not limited to the following:

Review and process Form U-4 (Uniform Application for Securities Industry Registration) applications following approved procedures, in order to appropriately register Prudential associates with FINRA and/or state securities commissions (blue sky registration) through Prudential's broker dealers.

  • Evaluate and manage the on time filing of Full or Partial U-5 (Uniform Termination Notice for Securities Industry Registration) requests for termination of registration(s) with FINRA and/or state securities commissions. Collaborate with other departments for review when needed, escalate as necessary and follow up for timely return of information to LRS.

  • Record Disclosure Amendment updates, including drafting amendment language.

  • Review and analyze customer complaints and other escalated concerns to determine FINRA report ability.

  • Act as a liaison between Licensing, Appointments and Registration Services (LARS), Law Department, Compliance, Field Offices, Home Office Departments, Prudential Advisor Hiring Unit, and other company broker-dealer contacts.

  • Interact with FINRA and state securities commissions.

Other Responsibilities


  • Participate in special projects as warranted.
  • Responsibilities are not limited to above and may change in order to address workflow, production needs and process improvements.
  • Rotation of work hours may be required in order to meet standard Eastern Standard time (EST) business hours.
  • This position has a residency requirement of one (1) year. Overtime may be necessary at times.



  • Excellent organization and communication skills


  • Ability to partner effectively with team members and business partners


  • Detail oriented and must possess solid decision making capabilities


  • Knowledge of Microsoft Office applications with experience in Word and Excel


  • Ability to learn new applications quickly


  • Demonstrated ability to manage multiple assignments effectively


  • Prior knowledge of FINRA’s CRD application a plus.

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.
Job Function: Operations
Schedule: Full-time
Apply on the Company Site
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