NASD (Now FINRA)
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NASD (Now FINRA) Employees
Employee
Years
Job
Industry
Joan Conley Joan Conley's NASD (Now FINRA) Experience 1993 - 1999
Job Senior Vice President at NASDAQ OMX
Industry Financial Services
Experience
NASDAQ OMX 1995 - Present
NASD (now FINRA) 1993 - 1999
NASD (now FINRA) 1987 - 1993
Skills
Securities, Corporate Governance, Capital Markets, Equities, Trading Systems, Financial Markets, Derivatives, Investor Relations, Project Management, Foundations, Ethics, Educational Leadership, Corporate Compliance, GRC, Equity Trading, Strategy, Fixed Income, Investments, Options, Electronic Trading, Financial Analysis, Financial Services, Risk Management, Management, ETFs, Mergers & Acquisitions, Hedge Funds, Trading, Strategic Planning
Education
Loyola University of Chicago
Master of Science (MS), Labor and Industrial Relations
Dominican University
Bachelor's Degree, Communication/Media Studies and Economics
The London School of Economics and Political Science (LSE)
Economics
NASDAQ OMX 1995 - Present
NASD (now FINRA) 1993 - 1999
NASD (now FINRA) 1987 - 1993
Skills
Securities, Corporate Governance, Capital Markets, Equities, Trading Systems, Financial Markets, Derivatives, Investor Relations, Project Management, Foundations, Ethics, Educational Leadership, Corporate Compliance, GRC, Equity Trading, Strategy, Fixed Income, Investments, Options, Electronic Trading, Financial Analysis, Financial Services, Risk Management, Management, ETFs, Mergers & Acquisitions, Hedge Funds, Trading, Strategic Planning
Education
Loyola University of Chicago
Master of Science (MS), Labor and Industrial Relations
Dominican University
Bachelor's Degree, Communication/Media Studies and Economics
The London School of Economics and Political Science (LSE)
Economics
Chip Arvantides Chip Arvantides's NASD (Now FINRA) Experience August 1999 - September 2006
Job Executive Vice President at FrontLine Compliance, LLC
Industry Financial Services
Experience
FrontLine Compliance, LLC September 2006 - Present
NASD (now FINRA) August 1999 - September 2006
KPMG LLP October 1998 - August 1999
INTERPOL–U.S. National Central Bureau June 1997 - September 1997
Skills
FINRA, SEC, Business Development, Securities, Hedge Funds, Marketing, Financial Services, Investments, Fixed Income, CRM, Equities, Securities Regulation, Broker-Dealer, Strategic Partnerships, Due Diligence, Mutual Funds, Compliance, Asset Management, Alternative Investments, Financial Regulation, Series 24, Capital Markets, Series 63, SEC compliance, FINRA compliance, regulatory exams, compliance policies and..., mock audits, AML, Regulations, Financial Markets, Executive Management, Portfolio Management, Investor Relations, Series 7, Investment Management, Fund Of Funds, Private Equity, Investment Advisory, Client Relationship..., Public Relations, Coaching, Social Media Marketing, Time Management, USA PATRIOT Act, OFAC, Private Equity Firms, Strategic Consulting
Education
Wharton School - FINRA Institute 2003 — 2006
CRCP, Certified Regulatory Compliance Professional Program
American University 1996 — 1998
School of International Service, Masters Program
Hobart College 1984 — 1988
Bachelor of Arts, Double Major: Political Science and English
FrontLine Compliance, LLC September 2006 - Present
NASD (now FINRA) August 1999 - September 2006
KPMG LLP October 1998 - August 1999
INTERPOL–U.S. National Central Bureau June 1997 - September 1997
Skills
FINRA, SEC, Business Development, Securities, Hedge Funds, Marketing, Financial Services, Investments, Fixed Income, CRM, Equities, Securities Regulation, Broker-Dealer, Strategic Partnerships, Due Diligence, Mutual Funds, Compliance, Asset Management, Alternative Investments, Financial Regulation, Series 24, Capital Markets, Series 63, SEC compliance, FINRA compliance, regulatory exams, compliance policies and..., mock audits, AML, Regulations, Financial Markets, Executive Management, Portfolio Management, Investor Relations, Series 7, Investment Management, Fund Of Funds, Private Equity, Investment Advisory, Client Relationship..., Public Relations, Coaching, Social Media Marketing, Time Management, USA PATRIOT Act, OFAC, Private Equity Firms, Strategic Consulting
Education
Wharton School - FINRA Institute 2003 — 2006
CRCP, Certified Regulatory Compliance Professional Program
American University 1996 — 1998
School of International Service, Masters Program
Hobart College 1984 — 1988
Bachelor of Arts, Double Major: Political Science and English
Steve Graalman Steve Graalman's NASD (Now FINRA) Experience 1987 - 1999
Job Computer Scientist
Industry Information Technology and Services
Experience
NA March 2012 - Present
HP Enterprise Services 2007 - March 2012
Hewlett-Packard 2007 - March 2012
EDS Group July 1999 - July 2007
NASD (Now FINRA) 1987 - 1999
NASD, Inc. 1987 - 1999
National Association of Securities Dealers (NASD), Inc 1987 - 1999
Skills
Enterprise Architecture, Python, C++ Language, Secure SDLC, Unix Operating Systems, VMware, Reverse Engineering, Assembly Language, Windows Programming, Linux
Education
University of Maryland College Park 1978 — 1982
NA March 2012 - Present
HP Enterprise Services 2007 - March 2012
Hewlett-Packard 2007 - March 2012
EDS Group July 1999 - July 2007
NASD (Now FINRA) 1987 - 1999
NASD, Inc. 1987 - 1999
National Association of Securities Dealers (NASD), Inc 1987 - 1999
Skills
Enterprise Architecture, Python, C++ Language, Secure SDLC, Unix Operating Systems, VMware, Reverse Engineering, Assembly Language, Windows Programming, Linux
Education
University of Maryland College Park 1978 — 1982
Cynthia Macdonald Cynthia Macdonald's NASD (Now FINRA) Experience 1982 - 1989
Job Attorney, US Small Business Administration
Industry Government Administration
Experience
US Small Business Administration May 2009 - Present
Wachovia Small Business Capital September 2005 - September 2008
US Small Business Administration October 2004 - July 2005
E*TRADE Financial July 2002 - March 2003
Travelers Insurance and Tower Square Securities, Inc. 1995 - 2002
Tower Square Securities, Inc. 1995 - 1998
H.C. Wainwright & Co., Inc. 1994 - 1995
Commonwealth of Massachusetts 1991 - 1994
John Hancock 1989 - 1991
NASD (now FINRA) 1982 - 1989
Skills
Loans, Program Management, Management, Litigation, Securities, Legal Writing, Corporate Governance, Licensing, Credit, Financial Risk, Portfolio Management, Investments, Asset Management, Small Business, Financial Services
Education
Suffolk University Law School 1985 — 1989
JD
Boston University
B.L.S.
US Small Business Administration May 2009 - Present
Wachovia Small Business Capital September 2005 - September 2008
US Small Business Administration October 2004 - July 2005
E*TRADE Financial July 2002 - March 2003
Travelers Insurance and Tower Square Securities, Inc. 1995 - 2002
Tower Square Securities, Inc. 1995 - 1998
H.C. Wainwright & Co., Inc. 1994 - 1995
Commonwealth of Massachusetts 1991 - 1994
John Hancock 1989 - 1991
NASD (now FINRA) 1982 - 1989
Skills
Loans, Program Management, Management, Litigation, Securities, Legal Writing, Corporate Governance, Licensing, Credit, Financial Risk, Portfolio Management, Investments, Asset Management, Small Business, Financial Services
Education
Suffolk University Law School 1985 — 1989
JD
Boston University
B.L.S.
Elisabeth Hayes Elisabeth Hayes's NASD (Now FINRA) Experience July 2003 - February 2007
Job AVP, FINRA and Principal, Studio E Partners
Industry Financial Services
Experience
Garrison Forest School July 2015 - Present
Studio E Partners, LLC August 2012 - Present
Financial Industry Regulatory Authority (FINRA) October 2004 - Present
Garrrison Forest School May 2007 - June 2010
NASD (now FINRA) July 2003 - February 2007
EO Consulting, Inc. December 1999 - July 2003
TechCapital Magazine May 1999 - December 1999
NASDAQ September 1995 - April 1999
NASD November 1988 - September 1995
Sarah Cooper Associates, Inc. March 1986 - November 1988
Skills
Process Improvement, Project Management, Marketing, Cross-functional Team..., Start-ups, Leadership, Strategic Partnerships, Financial Services, Coaching, Business Coaching, Entrepreneurship, Program Management, Marketing Strategy, Market Research, Management, Finance, Business Strategy, Strategy, Public Relations, Public Speaking, Marketing Communications
Education
The Johns Hopkins University - Carey Business School 1997 — 2003
MS, Marketing
University of Virginia 1981 — 1985
BA, Art History
Coach Training Institute 2011 — 2012
Garrison Forest School 1978 — 1981
Garrison Forest School July 2015 - Present
Studio E Partners, LLC August 2012 - Present
Financial Industry Regulatory Authority (FINRA) October 2004 - Present
Garrrison Forest School May 2007 - June 2010
NASD (now FINRA) July 2003 - February 2007
EO Consulting, Inc. December 1999 - July 2003
TechCapital Magazine May 1999 - December 1999
NASDAQ September 1995 - April 1999
NASD November 1988 - September 1995
Sarah Cooper Associates, Inc. March 1986 - November 1988
Skills
Process Improvement, Project Management, Marketing, Cross-functional Team..., Start-ups, Leadership, Strategic Partnerships, Financial Services, Coaching, Business Coaching, Entrepreneurship, Program Management, Marketing Strategy, Market Research, Management, Finance, Business Strategy, Strategy, Public Relations, Public Speaking, Marketing Communications
Education
The Johns Hopkins University - Carey Business School 1997 — 2003
MS, Marketing
University of Virginia 1981 — 1985
BA, Art History
Coach Training Institute 2011 — 2012
Garrison Forest School 1978 — 1981
Ruben Vassolo's NASD (Now FINRA) Experience November 1998 - September 2000
Job Owner, Vassolo Law
Industry Law Practice
Experience
Vassolo Law March 2006 - Present
Point 360 January 2004 - March 2006
Point 360 July 2003 - January 2004
Law Office of Ruben Vassolo September 2001 - July 2003
Clay Properties, LLC September 2000 - September 2001
NASD (now FINRA) November 1998 - September 2000
News Corporation (Sky Latin America) July 1997 - November 1998
Law Office of Ruben Vassolo January 1992 - July 1997
UCLA Extension January 1993 - June 1996
Baker & McKenzie June 1988 - January 1992
Skills
Corporate Law, Real Estate Transactions, Contract Negotiation, Mergers & Acquisitions, Start-ups, Corporate Governance, Licensing, Due Diligence, Intellectual Property, Commercial Litigation, International Law, Arbitration, Legal Writing
Education
Harvard Law School 1983 — 1986
JD
University of California, Los Angeles 1979 — 1983
BA, Economics (summa cum laude/Phi Beta Kappa)
Hollywood High School 1976 — 1979
High School Diploma (High Honors)
Vassolo Law March 2006 - Present
Point 360 January 2004 - March 2006
Point 360 July 2003 - January 2004
Law Office of Ruben Vassolo September 2001 - July 2003
Clay Properties, LLC September 2000 - September 2001
NASD (now FINRA) November 1998 - September 2000
News Corporation (Sky Latin America) July 1997 - November 1998
Law Office of Ruben Vassolo January 1992 - July 1997
UCLA Extension January 1993 - June 1996
Baker & McKenzie June 1988 - January 1992
Skills
Corporate Law, Real Estate Transactions, Contract Negotiation, Mergers & Acquisitions, Start-ups, Corporate Governance, Licensing, Due Diligence, Intellectual Property, Commercial Litigation, International Law, Arbitration, Legal Writing
Education
Harvard Law School 1983 — 1986
JD
University of California, Los Angeles 1979 — 1983
BA, Economics (summa cum laude/Phi Beta Kappa)
Hollywood High School 1976 — 1979
High School Diploma (High Honors)
Sachanna Williams Sachanna Williams's NASD (Now FINRA) Experience September 2006 - December 2006
Job Lender Liability Attorney at Hogan Lovells
Industry Law Practice
Experience
Hogan Lovells May 2013 - Present
Akerman Senterfitt April 2011 - April 2013
Mayer Brown September 2008 - March 2011
United States District Court August 2007 - September 2008
NASD (now FINRA) September 2006 - December 2006
Education
Maurice A. Deane School of Law at Hofstra University 2004 — 2007
JD
Western University 1999 — 2003
BA
Hogan Lovells May 2013 - Present
Akerman Senterfitt April 2011 - April 2013
Mayer Brown September 2008 - March 2011
United States District Court August 2007 - September 2008
NASD (now FINRA) September 2006 - December 2006
Education
Maurice A. Deane School of Law at Hofstra University 2004 — 2007
JD
Western University 1999 — 2003
BA
Andrew Casertano's NASD (Now FINRA) Experience 1997 - 2002
Job Owner, SAN Business Consultants
Industry Information Technology and Services
Experience
University of Maryland 2015 - Present
SAN Business Consultants 2005 - Present
US DOD Military Health Systems 2002 - 2005
NASD (now FINRA) 1997 - 2002
US Department of Defense Contractor 1987 - 1997
Skills
Integration, Requirements Analysis, Program Management, Healthcare Information..., Security, System Architecture, Information Technology, Enterprise Architecture, Testing, HL7, Systems Engineering, Leadership, Information Assurance, Software Development, DoD, Requirements Management, PACS, Security Clearance, CMMI, Architectures, IT Strategy, DICOM, PMO, Medical Imaging, PMP, Governance, EHR, Drupal, EMR, Architecture, Healthcare, Radiology, SOA, Open Source Software, Federal Government, CMS, IHE, Java, eHealth, Healthcare IT, Joomla, Small Business, RIS, Electrical Engineering, Radiation Monitoring, Eclipse
Education
University of Maryland College Park 1992 — 1996
MS, Engineering
University of Maryland College Park 1982 — 1987
BSEE, Electrical Engineering
University of Maryland 2015 - Present
SAN Business Consultants 2005 - Present
US DOD Military Health Systems 2002 - 2005
NASD (now FINRA) 1997 - 2002
US Department of Defense Contractor 1987 - 1997
Skills
Integration, Requirements Analysis, Program Management, Healthcare Information..., Security, System Architecture, Information Technology, Enterprise Architecture, Testing, HL7, Systems Engineering, Leadership, Information Assurance, Software Development, DoD, Requirements Management, PACS, Security Clearance, CMMI, Architectures, IT Strategy, DICOM, PMO, Medical Imaging, PMP, Governance, EHR, Drupal, EMR, Architecture, Healthcare, Radiology, SOA, Open Source Software, Federal Government, CMS, IHE, Java, eHealth, Healthcare IT, Joomla, Small Business, RIS, Electrical Engineering, Radiation Monitoring, Eclipse
Education
University of Maryland College Park 1992 — 1996
MS, Engineering
University of Maryland College Park 1982 — 1987
BSEE, Electrical Engineering
Nancy Kline's NASD (Now FINRA) Experience 1986 - 1997
Job Financial Services Consultant
Industry Financial Services
Experience
FBR Capital Markets Corp 2004 - 2008
CFM Partners 2003 - 2004
Mantas 2000 - 2003
Friedman, Billings, Ramsey and Co., Inc. 1997 - 2000
NASD (now FINRA) 1986 - 1997
Skills
Compliance, Securities, Equities
Education
The George Washington University - School of Business 1992 — 1995
MBA, International Business Finance
Randolph College 1979 — 1983
BA, Economics/Communications
FBR Capital Markets Corp 2004 - 2008
CFM Partners 2003 - 2004
Mantas 2000 - 2003
Friedman, Billings, Ramsey and Co., Inc. 1997 - 2000
NASD (now FINRA) 1986 - 1997
Skills
Compliance, Securities, Equities
Education
The George Washington University - School of Business 1992 — 1995
MBA, International Business Finance
Randolph College 1979 — 1983
BA, Economics/Communications
Douglas Houston's NASD (Now FINRA) Experience May 2004 - May 2010
Job Examination Training Manager at FINRA
Industry Financial Services
Experience
FINRA June 2010 - Present
Financial Industry Regulatory Authority May 2004 - May 2010
NASD (now Finra) May 2004 - May 2010
Skills
FINRA, Securities, Finance, Training, Series 63, Equities, Series 7, Investments, Financial Services, AML, Hedge Funds, Fraud, Investment Advisory, Series 24, Risk Management, Mutual Funds, Training Delivery, Securities Regulation, Financial Risk
Education
State University of New York Institute of Technology at Utica/Rome 2012 — 2014
Master of Science (MS), Accountancy
The George Washington University - School of Business 1991 — 1993
MBA, Marketing
Drake University 1980 — 1984
Bachelor of Science (B.S.), Accounting
FINRA June 2010 - Present
Financial Industry Regulatory Authority May 2004 - May 2010
NASD (now Finra) May 2004 - May 2010
Skills
FINRA, Securities, Finance, Training, Series 63, Equities, Series 7, Investments, Financial Services, AML, Hedge Funds, Fraud, Investment Advisory, Series 24, Risk Management, Mutual Funds, Training Delivery, Securities Regulation, Financial Risk
Education
State University of New York Institute of Technology at Utica/Rome 2012 — 2014
Master of Science (MS), Accountancy
The George Washington University - School of Business 1991 — 1993
MBA, Marketing
Drake University 1980 — 1984
Bachelor of Science (B.S.), Accounting
Jeff Leone's NASD (Now FINRA) Experience March 2000 - March 2003
Job AML Professional and Certified AML Specialist (CAMS)
Industry Financial Services
Experience
Pershing, a BNY Mellon company October 2013 - April 2015
J.P. Morgan Chase & Co. December 2012 - October 2013
Knight Capital Group July 2010 - December 2012
Citigroup-Morgan Stanley Smith Barney (MSSB) November 2005 - July 2010
Banc of America Securities June 2004 - November 2005
SG Fimat March 2003 - June 2004
NASD (now FINRA) March 2000 - March 2003
Skills
USA PATRIOT Act, KYC, Auditing, AML, Bank Secrecy Act, CIP, OFAC, Surveillance, Compliance, Due Diligence, Background Checks, FINRA, Fraud, Mantas, Actimize, World Check, Westlaw, Sanction, Investigations, BSA, Sanctions, Fraud Investigations, Managerial Experience, Lexis Nexis, Norkom, Choicepoint, Factiva
Education
City University of New York-Brooklyn College 1992 — 1997
Pershing, a BNY Mellon company October 2013 - April 2015
J.P. Morgan Chase & Co. December 2012 - October 2013
Knight Capital Group July 2010 - December 2012
Citigroup-Morgan Stanley Smith Barney (MSSB) November 2005 - July 2010
Banc of America Securities June 2004 - November 2005
SG Fimat March 2003 - June 2004
NASD (now FINRA) March 2000 - March 2003
Skills
USA PATRIOT Act, KYC, Auditing, AML, Bank Secrecy Act, CIP, OFAC, Surveillance, Compliance, Due Diligence, Background Checks, FINRA, Fraud, Mantas, Actimize, World Check, Westlaw, Sanction, Investigations, BSA, Sanctions, Fraud Investigations, Managerial Experience, Lexis Nexis, Norkom, Choicepoint, Factiva
Education
City University of New York-Brooklyn College 1992 — 1997
Carol Weiss's NASD (Now FINRA) Experience 1998 - 2004
Job CCO at KWK Management, LLC
Industry Financial Services
Experience
KWK Management LLC January 2005 - Present
Shoreline Trading Group LLC January 2005 - March 2013
NASD (now FINRA) 1998 - 2004
Skills
FINRA, Series 24, Securities, Hedge Funds, Series 7, AML, Securities Regulation, Series 63, Alternative Investments, SEC, Equities, Investment Advisory, Equity Trading, Wealth Management, Broker-Dealer, ETFs, Investment Management, Electronic Trading, Trading Systems, Bloomberg, Financial Markets, Mutual Funds, Series 65, Proprietary Trading, Prime Brokerage
Education
California State University-Fullerton - College of Business and Economics 1989 — 1991
Bachelor of Science (BS), Business Administration, Finance
KWK Management LLC January 2005 - Present
Shoreline Trading Group LLC January 2005 - March 2013
NASD (now FINRA) 1998 - 2004
Skills
FINRA, Series 24, Securities, Hedge Funds, Series 7, AML, Securities Regulation, Series 63, Alternative Investments, SEC, Equities, Investment Advisory, Equity Trading, Wealth Management, Broker-Dealer, ETFs, Investment Management, Electronic Trading, Trading Systems, Bloomberg, Financial Markets, Mutual Funds, Series 65, Proprietary Trading, Prime Brokerage
Education
California State University-Fullerton - College of Business and Economics 1989 — 1991
Bachelor of Science (BS), Business Administration, Finance
Debbie Bertoli's NASD (Now FINRA) Experience 2000 - 2003
Job Owner & President at Treasured Tag Sales, Inc.
Industry Accounting
Experience
Treasured Tag Sales, Inc. January 2011 - Present
Peter Yurkowski & Co PC December 2009 - December 2011
Broadridge Financial Solutions May 2007 - January 2008
NASD (now FINRA) 2000 - 2003
Skills
Small Business
Education
Hofstra University 1993 — 1995
MBA, Marketing
Treasured Tag Sales, Inc. January 2011 - Present
Peter Yurkowski & Co PC December 2009 - December 2011
Broadridge Financial Solutions May 2007 - January 2008
NASD (now FINRA) 2000 - 2003
Skills
Small Business
Education
Hofstra University 1993 — 1995
MBA, Marketing
Elizabeth Wollin's NASD (Now FINRA) Experience 2000 - 2006
Job Senior Advisor at Department of Veterans Affairs, Center for Innovation
Industry Information Technology and Services
Experience
Nuna Health January 2015 - April 2015
Associated Veterans 2013 - 2014
MITRE 2009 - 2013
FINRA 1979 - 2008
NASD (now FINRA) 2000 - 2006
NASD (now ) 1998 - 1999
NASD (Now FINRA) 1989 - 1997
FINRA (Formerly NASD) 1983 - 1988
NASD (now FINRA) 1981 - 1983
FINRA March 1979 - February 1981
Skills
Analysis, Data Warehousing, Government, Financial Analysis, Data Mining, Case Management, Customer Relationship..., Acquisition, Business Intelligence, Business Process, Cross-functional Team..., Program Management, Analytics, Leadership, Mergers, CRM, Case Managment, SDLC, Mergers & Acquisitions, Project Management, Securities, SaaS, Consulting, Financial Services, Policy, PMP, Knowledge Management, Management, Finance, Management Consulting
Education
The George Washington University - School of Business 1982 — 1986
MBA, International Finance
Allegheny College 1968 — 1972
BA, French
Nuna Health January 2015 - April 2015
Associated Veterans 2013 - 2014
MITRE 2009 - 2013
FINRA 1979 - 2008
NASD (now FINRA) 2000 - 2006
NASD (now ) 1998 - 1999
NASD (Now FINRA) 1989 - 1997
FINRA (Formerly NASD) 1983 - 1988
NASD (now FINRA) 1981 - 1983
FINRA March 1979 - February 1981
Skills
Analysis, Data Warehousing, Government, Financial Analysis, Data Mining, Case Management, Customer Relationship..., Acquisition, Business Intelligence, Business Process, Cross-functional Team..., Program Management, Analytics, Leadership, Mergers, CRM, Case Managment, SDLC, Mergers & Acquisitions, Project Management, Securities, SaaS, Consulting, Financial Services, Policy, PMP, Knowledge Management, Management, Finance, Management Consulting
Education
The George Washington University - School of Business 1982 — 1986
MBA, International Finance
Allegheny College 1968 — 1972
BA, French
Malini Greene's NASD (Now FINRA) Experience 2001 - 2005
Job Attorney
Industry Legal Services
Experience
Fairfax County, Virginia October 2011 - Present
BNA (now Bloomberg BNA) 2007 - 2011
Legg Mason 2006 - 2007
Morgan Stanley 2005 - 2006
NASD (now FINRA) 2001 - 2005
Education
George Mason University School of Law
Master of Laws (LL.M.), Law and Economics
University College London (University of London)
Bachelor of Laws (LL.B.), Law
American University
Bachelor of Arts (B.A.), Literature and Philosophy
Fairfax County, Virginia October 2011 - Present
BNA (now Bloomberg BNA) 2007 - 2011
Legg Mason 2006 - 2007
Morgan Stanley 2005 - 2006
NASD (now FINRA) 2001 - 2005
Education
George Mason University School of Law
Master of Laws (LL.M.), Law and Economics
University College London (University of London)
Bachelor of Laws (LL.B.), Law
American University
Bachelor of Arts (B.A.), Literature and Philosophy
Robert Bach's NASD (Now FINRA) Experience May 2003 - June 2004
Job
Industry Financial Services
Experience
Hillwinds Enterprises July 2005 - Present
NASD (now FINRA) May 2003 - June 2004
Board of Governors Federal Reserve October 1998 - October 2000
Skills
Human Resources
Education
Dartmouth College 1962 — 1996
Bachelor of Arts (B.A.), Geography and Cartography
Columbia University in the City of New York 1969 — 1971
Master of Business Administration (MBA), Finance, General
Hillwinds Enterprises July 2005 - Present
NASD (now FINRA) May 2003 - June 2004
Board of Governors Federal Reserve October 1998 - October 2000
Skills
Human Resources
Education
Dartmouth College 1962 — 1996
Bachelor of Arts (B.A.), Geography and Cartography
Columbia University in the City of New York 1969 — 1971
Master of Business Administration (MBA), Finance, General