NASD/FINRA Company
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Tax ID: 53-0088710 Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C. CEO: Robert W. Cook (Aug 2016–) Founded: July 30, 2007 Number of employees: 3,400
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NASD/FINRA Employees
ScanAvert, Inc. March 2002 - Present
NASD/FINRA March 2002 - Present
NYSE 1988 - 1996
E F Hutton 1987 - 1988
American Stock Exchange 1985 - 1987
NASDAQ 1984 - 1985
J J Lowrey & Co 1983 - 1984
Education
State University of New York College at Oneonta 1979 — 1983
BS
CHSN
Clarkstown High School South
FINRA, Inc. November 2013 - Present
Financial Industry Regulatory Authority (FINRA) October 2005 - November 2013
NASD/FINRA November 1999 - October 2005
Deltek June 1997 - November 1999
Crown Communications November 1993 - June 1997
United States Air Force June 1986 - January 1990
Skills
SDLC, FINRA, Risk Management, Financial Services, User Acceptance Testing, Quality Assurance, Process Improvement, Requirements Analysis, System Testing, Business Process, Business Analysis, Analysis, Business Process..., Requirements Gathering, PMO, Agile Methodologies, Enterprise Architecture, Integration, Program Management, Management
Education
University of Maryland University College
BS, Accounting
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. June 2015 - Present
The PNC Financial Services Group July 2006 - May 2015
NASD/FINRA 1997 - 2006
Commodity Futures Trading Commission 1992 - 1997
Andrews Kurth LLP 1989 - 1991
Baker & Hostetler LLP 1978 - 1989
Skills
Securities Law and..., Finra, SEC, and CFTC..., Broker-Dealer Governance, Risk Assessment and..., Broker-Dealer and..., Finra New and..., Statutory..., Customer Complaint..., FINRA, Compliance, SEC, Broker-Dealer, Securities, Securities Regulation, OFAC, Series 24, Wealth Management, Risk Assessment, Civil Litigation, AML, Investment Advisers Act, Corporate Governance, Dodd-Frank, Financial Regulation, Financial Risk, Internal Investigations, Due Diligence, Hedge Funds, Series 7, Investments, Litigation, Private Equity, Mutual Funds, Alternative Investments, Equities, Capital Markets, Fixed Income, Legal Compliance, Policy
Education
The George Washington University Law School 1975 — 1978
JD
Union College 1971 — 1975
BA, Political Science
Triad Advisors, Inc. October 2005 - January 2015
Synovus March 2004 - October 2005
NASD/FINRA March 1999 - March 2004
Skills
Financial Services..., Auditing, Process and Procedures, Financial Services..., FINRA/SEC Regulations, Business Strategy, Asset Management, Securities, Investments, Wealth Management, Mutual Funds
Education
University of Central Florida
BSBA, Accounting and Finance
Grainger April 2015 - Present
Black Lily Consulting LLC. 2007 - Present
Cleversafe July 2014 - February 2015
CNA Insurance June 2014 - July 2014
Chicago Public Schools April 2014 - June 2014
Accel Corporation 2013 - 2014
CoStar Group 2013 - 2013
AOL 2012 - 2012
Navistar Inc 2008 - 2009
NASD/FINRA 2007 - 2007
Skills
Recruiting, Talent Management, Employee Relations, Sourcing, Human Resources, Interviews, Program Management, Training, Leadership, HRIS, Social Media, Strategy, Sales, Temporary Placement, Employee Benefits, Blogging, Facebook, Technical Recruiting, Customer Service, Applicant Tracking..., Talent Acquisition, College Recruiting, Internet Recruiting, Executive Search, Taleo, Team Building, Management, Contract Recruitment, Resume Writing, Business Development, Strategic Planning, Employee Engagement, Negotiation, Screening Resumes, Staffing Services, Account Management, Employee Training, Marketing, Social Media Marketing, Onboarding, HR Consulting, Recruitment Advertising, New Business Development, Business Analysis, Career Development, Job Descriptions, Coaching, Benefits Negotiation, PeopleSoft, Networking
Education
The Chicago School of Professional Psychology 2010 — 2011
Master of Arts (M.A.), Child and Adolescent Psychology
University of Pittsburgh 1991 — 1994
B.A., Legal Studies
Howard University 1986 — 1990
Marketing
St. Paul's Cathedral High School 1982 — 1986
Diploma, College Prep
ITG Inc February 2010 - Present
Miletus Trading, LLC June 2005 - January 2008
NASD/FINRA October 1999 - June 2005
Skills
Equities, Securities, FINRA, Trading, Electronic Trading, Options, Trading Systems, Equity Trading, Mutual Funds, Securities Regulation, New Rule Implementation, Alternative Trading..., Best Execution, Direct Market Access, Trading Surveillance, High Frequency Trading, Research Reviews, Policies and Procedures, OATS, Compliance, Series 4, 7, 24, 87, Hedge Funds, Corporate Finance, Series 24, Capital Markets, Series 7, Fixed Income, Anti Money Laundering, Financial Services, Derivatives
Education
Fordham Gabelli School of Business 2002 — 2006
MBA
St. John's University - Peter J. Tobin College of Business 1994 — 1999
B.S.
NASD/FINRA February 2004 - Present
FINRA 2004 - Present
EDS January 2004 - March 2007
Nasdaq June 1999 - January 2004
Skills
Agile Methodologies, SDLC, Enterprise Architecture, SOA, Software Project..., Data Warehousing, Web Services, Software Development, SQL, Requirements Analysis, Oracle
Education
Gulbarga University
BS, Computer Science
NASD/FINRA March 2004 - September 2007
FINRA (Financial Industry Regulatory Authority), formerly NASD 2004 - 2007
State of Arizona October 2000 - February 2004
Bank One/Banc One Securities April 1995 - July 2000
Education
Arizona State University 1984 — 1986
M.S., Educational Technology
U.S. Securities and Exchange Commission September 2013 - Present
U.S. Securities and Exchange Commission July 2000 - September 2013
Deutsche Bank Alex. Brown Inc. May 1992 - September 1998
NASD/FINRA January 1985 - December 1991
Merrill Lynch, Pierce, Fenner & Smith, Inc. September 1982 - January 1985
Skills
Risk Management, Securities, Surveillance, Capital Markets, Public Speaking, Fraud, Business Strategy, Securities Regulation, PowerPoint, Strategic Planning, Nonprofits, Investments, Microsoft Excel, Customer Service, FINRA, Hedge Funds, Financial Regulation, Corporate Governance, Legal Research
Education
Hampton University 1978 — 1982
B.S., Business - Marketing
Baltimore Polytechnic Institute 1975 — 1978
Mathematics, Science and Engineering.
Economic Analysis Group, Ltd. February 2005 - Present
NASD/FINRA November 1994 - July 2004
NASDAQ December 1987 - November 1994
Education
New York University - Leonard N. Stern School of Business 1972 — 1976
MBA, Accounting; Professional Ctf.-Taxation
Saint Bonaventure University 1967 — 1971
BA, English literature
Trinity College Dublin 1969 — 1970
Junior Year, Liberal Arts
Raiseworks May 2013 - Present
EagleView Securities, Inc./EagleView Advisors, Inc. December 2014 - August 2015
iTB Holdings Inc. March 2011 - January 2014
InterMerchant Securities, LLC March 2010 - March 2011
Jesup & Lamont October 2008 - December 2009
Safdie Investment Services Corp. May 2005 - October 2008
US Trust November 2003 - May 2005
BBVA Securities Corp. August 2001 - November 2003
Security Financial Network, LLC November 1999 - August 2001
NASD/FINRA September 1997 - November 1999
Skills
Over 15 years of..., FINRA Series 4, 7, 24,..., Equities, Securities, Series 7, Trading, Hedge Funds, Risk Management, Fixed Income, Capital Markets, Asset Management, Alternative Investments, Investments, Series 24, Private Placements, Business Communications, Drafting Policies
Education
Temple University 1997 — 1999
MBA, Finance, 3.8
Rutgers University 1990 — 1994
Bachelor of Science (BS), Business Management, 3.4
J. P. Morgan Chase August 2010 - Present
RCRS: Response Compliance and Regulatory Services 2008 - Present
RCRS May 2006 - Present
HR&A Advisors March 2007 - January 2009
NASD/FINRA September 1997 - November 2006
Education
University of Notre Dame 1986 — 1990
BA, Philosophy
Ameriprise Financial Services, Inc. June 2011 - April 2012
LaBranche Structured Products / LaBranche & Co March 2005 - October 2007
Preferred Capital Markets, Inc December 1999 - March 2005
NASD/FINRA October 1996 - December 1999
Skills
Equities, SEC, Mutual Funds, AML, Options, Series 7, Securities Regulation, Regulations
Education
Bloomfield College 2005 — 2009
BS
Art Institute of Philadelphia 1993 — 1995
Associate Degree