Broker Dealer
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process.
Broker Dealer List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Broker Dealer. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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21 Broker Dealer employees in database. Find out everything there's to know about Broker Dealer employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
Broker Dealer Employees
UBS November 2014 - Present
UBS October 2010 - Present
FrontLine Compliance, LLC January 2010 - September 2010
Boston University School of Law 2010 - 2010
Broker-Dealer June 2008 - December 2009
Morgan Stanley March 2004 - June 2008
NISC TD Waterhouse 2000 - 2002
Bankers Trust 1996 - 1999
NYSE 1980 - 1996
Skills
AML, Internal Audit, Business, Securities, FINRA, SEC, Equities, Financial Services, Securities Regulation, Hedge Funds, Mutual Funds, Due Diligence, Capital Markets, Banking, Series 7
Education
Pace University - Lubin School of Business 1982 — 1986
MBA, Management
Paralegal Certificate & eDiscovery Cerificate
Southwest Airlines June 2014 - Present
Blueprint Technology Advisors, LLC d.b.a. Optima Analytics February 2009 - Present
Blue Star Infotech December 2011 - May 2014
DiCOM grid October 2007 - January 2009
Quepasa Corporation January 2007 - September 2007
Cabinet & Wood Products Manufacturer September 2005 - October 2006
Broker Dealer May 2005 - August 2005
BMC Software February 2004 - April 2005
Network Associates January 2003 - January 2004
Best Reservations July 2002 - December 2002
Skills
SaaS, Enterprise Architecture, Business Intelligence, Business Management, Data Warehousing, Business Analytics, Technology Management, Mobile Applications, Cloud Computing, Strategic Planning, Enterprise Software, Team Leadership, Scrum, Entrepreneurship, Solution Architecture, Executive Management, Web Services, Management, Product Management, Software Project..., Business Planning, Analytics, Product Development, Product Marketing, Leadership, IT Management, Strategic Partnerships, Business Development, Management Consulting, Program Management, SDLC, Integration, Go-to-market Strategy, Software Development, Business Analysis, Marketing Strategy, Vendor Management, Agile Methodologies, SOA, Telecommunications, Strategy, IT Strategy, Professional Services, Start-ups, Project Management, Pre-sales, Business Process..., Requirements Analysis, Consulting, Outsourcing
Education
Southern Methodist University - Cox School of Business 2004 — 2006
MBA, General Management
Georgia Institute of Technology 1986 — 1987
MSOR, Operations Research
Loyola University Maryland 1982 — 1986
BS, Mathematical Sciences
Broker Dealer January 2014 - Present
Self Employed March 2013 - January 2014
Ameriprise Financial Services, Inc. August 2012 - April 2013
Classic Cup Cafe (Fine Dinning) June 2010 - January 2012
Sigma Phi Epsilon Fraternity August 2010 - December 2011
Sigma Phi Epsilon Fraternity August 2009 - March 2010
Skills
Asset Allocation, Investments, Retirement Planning, Financial Advisory, Mutual Funds, Portfolio Management, Investment Advisory, ETFs, Business Development
Education
University of Missouri-Kansas City 2009 — 2012
Bachelors in Communication Studies, Interpersonal Communication and Public Relations
Wayzata
VALIC April 2014 - Present
Broker Dealer October 2008 - April 2014
None 1983 - 2014
Zygo Corporation 1995 - 2007
Exion Technology 1991 - 1995
Skills
Customer Service, Digital Photography, Photoshop, Microsoft Office, Microsoft Word, Photography, Microsoft Excel, Team Building, Leadership, Team Leadership, Teaching, Illustrator, Management, Strategic Planning, Program Management, Sales Management, Adobe Creative Suite, Small Business, PowerPoint, Graphic Design, Public Speaking
Education
Rochester Institute of Technology 1980 — 1983
Bachelor of Science (BS), Photographic Science & Instrumentation
Broker Dealer June 2004 - Present
Aeon Capital Management November 2009 - Present
PwC October 2003 - December 2003
Skills
Derivatives, Risk Management, Financial Analysis, Hedge Funds, Back Office, Compliance Audits, Quality Auditing, Business Development, Regulatory Filings, Trading Systems, ADRs, Securities Regulation, GDR, Portfolio Management, Fixed Income, Commodity, Financial Markets, Mutual Funds, Trading, Options, Equities, FINRA, Bloomberg, Capital Markets
Education
University of Notre Dame - Mendoza College of Business 2014 — 2015
Master of Business Administration (EMBA), Cum Laude
King's College 2000 — 2004
Bsc, Finance, Accounting, Economics
Modern School 1986 — 2000
High school
Evans & Kob, PC November 2010 - Present
Broker-Dealer March 2009 - December 2010
Texas Energy Holdings, Inc. 2008 - 2009
Grubb & Ellis Realty Investors, LLC 2005 - 2007
Skills
Investments, Mergers, Due Diligence, Securities, Arbitration, Securities Litigation, Oil/Gas, Alternative Investments, Corporate Law, Securities Regulation, Transactional Law, FINRA, Legal Writing, Financial Analysis, Litigation, Joint Ventures, Mergers & Acquisitions, Commercial Litigation, Financial Structuring, Financial Services, Real Estate, Acquisitions, Mediation, Asset Management, Corporate Governance, Private Equity, Venture Capital, IPO, Licensing, Restructuring, Private Placements, Securities Offerings, Dispute Resolution, Legal Issues, Legal Assistance, Civil Litigation, Legal Compliance
Education
University of Washington School of Law 2004 — 2005
LL.M.
University of Utah - David Eccles School of Business 2001 — 2004
MBA
University of Utah S.J. Quinney College of Law 2000 — 2004
Juris Doctorate
University of California, Berkeley 1995 — 1999
Bachelors
Bloomberg LP December 2012 - Present
Broker Dealer 2008 - 2012
Government Affairs 1996 - 2008
Congress 1992 - 1996
Congress 1991 - 1992
Skills
Bloomberg, Political Intelligence, Financial Markets, Equities, Fixed Income, Bloomberg Terminal, Analysis, Finance, Policy Analysis, Hedge Funds, Governmental Affairs, Lobbying, Congressional Affairs, Politics, Telecommunications, New Media, Legislative Relations
Education
Roanoke College
Bachelor’s Degree, History, English
Broker-dealer March 2014 - Present
Fitch Ratings July 2013 - December 2013
Bank of America Merrill Lynch July 2011 - June 2013
Fitch Ratings April 2011 - July 2011
Depfa Bank July 2010 - April 2011
Radian Asset Assurance 2007 - 2009
FGIC 2004 - 2007
Financial Guaranty Insurance Co. 2004 - 2007
The Dreyfus Corporation July 1991 - October 2004
J.J. Kenny Co. 1988 - 1991
Skills
Hospitals, Bonds, Investments, CCRCs, HMOs, Writing, Credit, Managerial Finance, HMO, Credit Analysis, Analysis, Portfolio Management, Risk Management, Fixed Income, Insurance, Capital Markets, Derivatives, Process Improvement, Bloomberg, Securities, Valuation, Investment Banking, Credit Risk, Mutual Funds, Financial Modeling, Hedge Funds, Alternative Investments, Structured Finance, Equities, Asset Management, Financial Structuring, Emerging Markets, Equity Research, Securitization, Private Equity, Structured Products, Financial Markets, Due Diligence, Series 7, Financial Services, Credit Derivatives, Investment Management, Asset Allocation, Corporate Finance, Investment Strategies, Options, Market Risk, Series 63, Wealth Management, FX Options
Education
New York University - Leonard N. Stern School of Business 1986 — 1988
MBA, Finance
Yale University 1978 — 1985
PhD, Philosophy
Sarah Lawrence College 1971 — 1976
A.B.
Dwight-Englewood School
high school
Broker-Dealer June 2015 - Present
Pinnacle Capital Mortgage Corp March 2015 - May 2015
Ameriprise Financial Services, Inc. July 2012 - October 2014
AVID/Enlace, Santa Fe Community College September 2008 - May 2010
Jimmy John's August 2006 - April 2008
Skills
Finance, Investments, Economics, Strategic Financial..., Financial Analysis, Mutual Funds, Financial Modeling, Series 7, Portfolio Management, Microsoft Excel, Data Analysis, Retirement, Python, JavaScript, HTML5, CSS
Education
St. John's College (NM) 2008 — 2009
Master of Arts, Eastern Classics
Purdue University 2003 — 2008
Bachelor of Science, Economics
LPL Financial March 2015 - Present
Broker Dealer August 2012 - September 2013
Pointe Atlantic, Inc January 2012 - June 2012
MassMutual Financial Group 2004 - 2008
E*TRADE Financial 2001 - 2003
Bank of America August 1997 - July 1999
Fidelity Investments 1993 - 1997
Skills
FINRA, Series 24, Series 7, Securities, AML, Mutual Funds, Investment Advisory, Wealth Management, Investments, Alternative Investments, Risk Management, Retirement Planning, Series 63, Asset Managment, OFAC, KYC, USA PATRIOT Act, Equities, Hedge Funds, Series 65, Asset Allocation, Uniform Combined State..., Trading, Financial Services, Financial Risk, Fixed Income, Capital Markets, Options, Banking, Portfolio Management, Fixed Annuities, Brokerage, Due Diligence, Strategic Financial..., Derivatives, Investment Banking, Financial Markets, Prime Brokerage, Operational Risk, Bonds, Investment Management, Bank Secrecy Act, Retirement, Financial Regulation, Bloomberg, Anti Money Laundering, Securities Regulation, Private Banking, ETFs, Operational Risk...
Education
The University of Texas at Arlington 1985 — 1990
Bachelor of Arts (B.A.)
Broker Dealer January 2014 - Present
Broker-Dealer May 2013 - January 2014
Castalia Communications Corp. June 2012 - May 2013
Rowland Mountain & Associates October 2011 - June 2012
Payless ShoeSource August 2007 - July 2011
Education
Georgia State University - J. Mack Robinson College of Business 2010 — 2012
Finance, Business
Georgia State University, Robinson College of Business 2010 — 2012
Bachelor's of Business Administration, Finance
Broker Dealer November 2011 - Present
Allstate July 2011 - November 2011
CME Group February 2010 - June 2011
Skills
Agency MBS, Fixed Income Strategies, Fixed Income Analysis, Financial Analysis, Financial Modeling, Performance Metrics, Series 7, Series 63
Education
DePaul University 2007 — 2011
Bachelor's Degree, Finance, Accountancy
Leuven Institute for Ireland in Europe 2010 — 2010
European Studies
InterContinental Capital Group, Inc. February 2015 - Present
Undisclosed Mortgage Company September 2012 - Present
Broker Dealer March 2010 - September 2012
Eisner LLP January 2009 - October 2009
Deloitte & Touche LLP March 2004 - January 2009
Direct Response Advertising, Inc. 2002 - 2004
Schonfeld Securities 1997 - 2002
The Bank of New York 1995 - 1997
Smith Barney July 1992 - November 1995
First Boston 1989 - 1991
Skills
Financial Accounting, Financial Modeling, Internal Controls, SEC filings, Financial Analysis, IFRS, Financial Audits, Hedge Funds, US GAAP, Financial Reporting, Cash Management, GAAP, Strategic Financial..., Valuation, Auditing, Cash Flow, Fund Accounting, Sarbanes-Oxley Act, Corporate Finance, IPO, Alternative Investments, External Audit, Accounting, QuickBooks, Accounts Receivable, Accounts Payable, Finance, Consolidation, CPA, Financial Statements, Internal Audit, Tax, Due Diligence, Managerial Finance, Revenue Recognition, Business Valuation, Variance Analysis, Enterprise Risk..., General Ledger, Account Reconciliation, Private Equity, Sarbanes-Oxley, Big 4, Fixed Assets, Management, Risk Management, SEC Filings
Education
New York University - Leonard N. Stern School of Business 1988 — 1991
MBA, Finance, Real Estate
University at Albany, SUNY 1983 — 1987
BS, Accounting
Broker Dealer Head of Fixed Income ComplianceBroker DealerSeptember 2010 - Present
BBVA Compass March 1988 - August 2010
Education
University of Alabama 1977 — 1980
BS
Broker Dealer June 1998 - Present
Skills
Series 7, Series 63, Bloomberg, Bonds, Structured Products, MBS
Education
The University of Texas at Austin - Red McCombs School of Business 1994 — 1998
Broker-Dealer May 2000 - Present
Construction Company October 1997 - March 2000
Small Bank August 1995 - August 1997
Big Bank June 1992 - June 1995
Education
Bob Jones University 1985 — 1992
Senior Market Sales, Inc. March 2011 - Present
Broker Dealer October 2004 - March 2011
Sederstrom Law Offices June 2003 - September 2004
Education
University of Nebraska College of Law 1999 — 2002
JD
University of Nebraska-Lincoln 1994 — 1998
BSBA, Accounting
Schroders July 2014 - Present
Broker Dealer October 2010 - May 2014
Advisors Asset Management, Inc. August 2009 - October 2010
Merrill Lynch April 2005 - August 2009
Merrill Lynch & Co. 2005 - 2009
Citigroup 2000 - 2005
Prudential Financial March 1993 - August 2000
Skills
Bonds, Fixed Income, Capital Markets, Securities, Series 7, Municipalities, Credit, Series 63, Credit Risk, Alternative Investments, Hedge Funds, Asset Management, Investments, Portfolio Management, Derivatives
Education
Rutgers, The State University of New Jersey-New Brunswick 1986 — 1991
Economics
Broker Dealer March 2006 - Present
Protective Life 1996 - 2007
Skills
Insurance, Fixed Annuities
Education
University of Arkansas
BS, Fine Arts
Currently Not Employed September 2011 - Present
Broker Dealer January 2011 - September 2011
Rice Financial Products Company March 2009 - October 2009
Citigroup May 2005 - October 2008
Bear Stearns September 2004 - May 2005
Public Resources Advisory Group February 1990 - September 2004
Skills
Fixed Income, Derivatives, Investment Banking, Bonds, Quantitative Analytics, Options, Financial Modeling, Financial Structuring, Interest Rate..., Capital Markets, Investments, Swaps, Finance, Banking, Structured Products, Hedge Funds, Bloomberg, Valuation, Financial Markets, Innovation, Problem Solving, Logical Thinker, Mathematics, Mathematical Analysis, Number Theory, VBA, Microsoft Excel, Public Finance, Municipal Bonds, Interest Rate Swaps, Financial Analysis, Management, Analysis, Calculus, Abstract Algebra, Mathematical Modeling, Discrete Mathematics
Education
Rutgers University-New Brunswick 1993 — 2001
Mathematics
New York University 1985 — 1988
BA, Mathematics
Bronx HS of Science 1982 — 1985