1st Discount Brokerage
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1st Discount Brokerage Employees
Employee
Years
Job
Industry
Gayathri Parthasarathy, CPA Gayathri Parthasarathy, CPA's 1st Discount Brokerage Experience November 2007 - November 2008
Job Senior Accountant at UCB Pharma
Industry Accounting
Experience
UCB Pharma October 2014 - Present
Siemens (Contractor) February 2014 - September 2014
AGL Resources October 2013 - February 2014
Next Era Energy / Florida Power & Light Company July 2010 - July 2013
Alan Wagner CPA, P.A January 2010 - July 2010
Office Depot October 2009 - December 2009
H&R Block January 2009 - April 2009
1st Discount Brokerage November 2007 - November 2008
Skills
CPA, SAP, SAP BW, PowerPlant, Utility Companies, Accounts Payable, Accounts Receivable, Property Tax, Accounting, Account Reconciliation, Account Management, Master Data, SQL, Databases, Finance, Variance Analysis, Sarbanes-Oxley Act, Analysis, Financial Statements, Access, US GAAP, Fixed Assets, Internal Audit, Journal Entries
Education
Florida International University 2004 — 2006
Master's degree, Accounting
Florida Board of Accountancy 2007 — 2008
CPA
Alagappa University 1996 — 1998
Masters, Corporate
UCB Pharma October 2014 - Present
Siemens (Contractor) February 2014 - September 2014
AGL Resources October 2013 - February 2014
Next Era Energy / Florida Power & Light Company July 2010 - July 2013
Alan Wagner CPA, P.A January 2010 - July 2010
Office Depot October 2009 - December 2009
H&R Block January 2009 - April 2009
1st Discount Brokerage November 2007 - November 2008
Skills
CPA, SAP, SAP BW, PowerPlant, Utility Companies, Accounts Payable, Accounts Receivable, Property Tax, Accounting, Account Reconciliation, Account Management, Master Data, SQL, Databases, Finance, Variance Analysis, Sarbanes-Oxley Act, Analysis, Financial Statements, Access, US GAAP, Fixed Assets, Internal Audit, Journal Entries
Education
Florida International University 2004 — 2006
Master's degree, Accounting
Florida Board of Accountancy 2007 — 2008
CPA
Alagappa University 1996 — 1998
Masters, Corporate
Joshua Patton Joshua Patton's 1st Discount Brokerage Experience May 2008 - May 2009
Job CEO at Wooden Robot Brewery
Industry Financial Services
Experience
Wooden Robot Brewery May 2015 - Present
BB&T January 2014 - May 2015
Bank of America March 2012 - January 2014
Bank of America October 2009 - March 2012
1st Discount Brokerage May 2008 - May 2009
Skills
Risk Management, Financial Analysis, Microsoft Excel, Uniform Combined State..., Series 7, Series 24, VBA, Internal Audit, Access Database, Options, Equity Trading, Investment Advisory, Financial Services, Mutual Funds, Investments, Trading, Process Improvement, Access
Education
Indiana University - Kelley School of Business 2012 — 2014
Master of Business Administration (MBA), MBA
Florida Atlantic University 2006 — 2008
Bachelor of Business Administration, Finance
Wooden Robot Brewery May 2015 - Present
BB&T January 2014 - May 2015
Bank of America March 2012 - January 2014
Bank of America October 2009 - March 2012
1st Discount Brokerage May 2008 - May 2009
Skills
Risk Management, Financial Analysis, Microsoft Excel, Uniform Combined State..., Series 7, Series 24, VBA, Internal Audit, Access Database, Options, Equity Trading, Investment Advisory, Financial Services, Mutual Funds, Investments, Trading, Process Improvement, Access
Education
Indiana University - Kelley School of Business 2012 — 2014
Master of Business Administration (MBA), MBA
Florida Atlantic University 2006 — 2008
Bachelor of Business Administration, Finance
Nicky De Young Nicky De Young's 1st Discount Brokerage Experience August 2002 - Present
Job CCO at 1st Discount Brokerage
Industry Financial Services
Experience
Nicky C. De Young, CPA, PA 2010 - Present
1st Discount Brokerage August 2002 - Present
East/West Securities Corporation January 2012 - December 2013
Skills
Series 24, Series 27, Series 7, Series 53, Series 66, Certified Public..., CPA, Uniform Combined State..., FINRA, Series 4, Tax, Strategic Financial..., Accounting, Financial Analysis, Mutual Funds, Options, Wealth Management, Securities, Series 63, Fixed Income, Asset Management, Retirement Planning, Financial Planning, Equities, Finance
Education
Golden Gate University 2000 — 2004
MS
Montana State University-Northern 1997 — 1999
BS, Business
Nicky C. De Young, CPA, PA 2010 - Present
1st Discount Brokerage August 2002 - Present
East/West Securities Corporation January 2012 - December 2013
Skills
Series 24, Series 27, Series 7, Series 53, Series 66, Certified Public..., CPA, Uniform Combined State..., FINRA, Series 4, Tax, Strategic Financial..., Accounting, Financial Analysis, Mutual Funds, Options, Wealth Management, Securities, Series 63, Fixed Income, Asset Management, Retirement Planning, Financial Planning, Equities, Finance
Education
Golden Gate University 2000 — 2004
MS
Montana State University-Northern 1997 — 1999
BS, Business
Trevor Tormey Trevor Tormey's 1st Discount Brokerage Experience April 2010 - December 2011
Job Owner at Dark Horse Wealth LLC
Industry Investment Management
Experience
Dark Horse Wealth LLC December 2011 - Present
1st Discount Brokerage April 2010 - December 2011
1DB December 2009 - April 2010
Skills
Portfolio Management, Investments, Wealth Management, Investment Advisory, Asset Allocation, Retirement Planning, Securities, Pensions, ETFs, 401k, Precious Metals, IRA's
Education
State University of New York at Buffalo 2005 — 2009
B.S., Business Administration
State University of New York College at Cortland 2004 — 2005
Business Economics
Cazenovia High School 2000 — 2004
Dark Horse Wealth LLC December 2011 - Present
1st Discount Brokerage April 2010 - December 2011
1DB December 2009 - April 2010
Skills
Portfolio Management, Investments, Wealth Management, Investment Advisory, Asset Allocation, Retirement Planning, Securities, Pensions, ETFs, 401k, Precious Metals, IRA's
Education
State University of New York at Buffalo 2005 — 2009
B.S., Business Administration
State University of New York College at Cortland 2004 — 2005
Business Economics
Cazenovia High School 2000 — 2004
Joe Lopatka Joe Lopatka's 1st Discount Brokerage Experience October 2008 - August 2009
Job Experienced attorney in search of business consulting position at www.jobforjoe.com
Industry Management Consulting
Experience
Law Offices May 2010 - Present
Shapiro & Fishman August 2009 - May 2010
1st Discount Brokerage October 2008 - August 2009
Huron Consulting Group May 2006 - October 2008
Balistreri Realty July 2005 - August 2007
Skills
Litigation, Bankruptcy, Foreclosures, Mediation, Class Actions, Insurance, Criminal Defense, Hearings, Corporate Law, Legal Research, Negotiation, Civil Litigation, Courts, Westlaw, Trials, Claim, Legal Writing
Education
University of California, Hastings College of the Law 2001 — 2004
Law
University of Florida - Warrington College of Business Administration 1997 — 2001
Law Offices May 2010 - Present
Shapiro & Fishman August 2009 - May 2010
1st Discount Brokerage October 2008 - August 2009
Huron Consulting Group May 2006 - October 2008
Balistreri Realty July 2005 - August 2007
Skills
Litigation, Bankruptcy, Foreclosures, Mediation, Class Actions, Insurance, Criminal Defense, Hearings, Corporate Law, Legal Research, Negotiation, Civil Litigation, Courts, Westlaw, Trials, Claim, Legal Writing
Education
University of California, Hastings College of the Law 2001 — 2004
Law
University of Florida - Warrington College of Business Administration 1997 — 2001
Jimmy Musso Jimmy Musso's 1st Discount Brokerage Experience November 1999 - July 2000
Job Systems Engineer at R2 Unified Technologies
Industry Information Technology and Services
Experience
R2 Unified Technologies July 2013 - Present
Vitas Healthcare April 2012 - July 2013
R2 UNIFIED TECHNOLOGIES December 2009 - May 2012
COLD SPRING HARBOR SCHOOL DISTRICT December 2008 - December 2009
Thomson Reuters October 2008 - December 2008
CDS INTERNATIONAL INC January 2007 - August 2008
CUTAIA MORTGAGE GROUP, INC October 2004 - November 2006
LEHR CONSTRUCTION CORP August 2003 - October 2004
CAPITAL FACTORS, INC July 2000 - July 2003
1st Discount Brokerage November 1999 - July 2000
Skills
Cisco Technologies, Active Directory, Windows Server, Disaster Recovery, Network Administration, DHCP, DNS, Network Security, VMware ESX, Servers, VMware, Microsoft Exchange, Networking, VoIP, Data Center, Security, Windows XP, Routers, Technical Support, Group Policy
Education
PC PROFESSOR TECHNICAL INSTITUTE 1999 — 2000
MCSE, CCNA
INTERNATIONAL PC SCHOOL
Specialist
Nassau Community College 1996 — 1997
Information Systems Technology
R2 Unified Technologies July 2013 - Present
Vitas Healthcare April 2012 - July 2013
R2 UNIFIED TECHNOLOGIES December 2009 - May 2012
COLD SPRING HARBOR SCHOOL DISTRICT December 2008 - December 2009
Thomson Reuters October 2008 - December 2008
CDS INTERNATIONAL INC January 2007 - August 2008
CUTAIA MORTGAGE GROUP, INC October 2004 - November 2006
LEHR CONSTRUCTION CORP August 2003 - October 2004
CAPITAL FACTORS, INC July 2000 - July 2003
1st Discount Brokerage November 1999 - July 2000
Skills
Cisco Technologies, Active Directory, Windows Server, Disaster Recovery, Network Administration, DHCP, DNS, Network Security, VMware ESX, Servers, VMware, Microsoft Exchange, Networking, VoIP, Data Center, Security, Windows XP, Routers, Technical Support, Group Policy
Education
PC PROFESSOR TECHNICAL INSTITUTE 1999 — 2000
MCSE, CCNA
INTERNATIONAL PC SCHOOL
Specialist
Nassau Community College 1996 — 1997
Information Systems Technology
Rob Kohany's 1st Discount Brokerage Experience July 2007 - August 2012
Job Compliance/options &msrb principal
Industry Financial Services
Experience
Kovack Securities August 2015 - Present
Kovack advisors August 2015 - Present
Kovack advisors August 2015 - Present
Kovack Securities August 2015 - Present
Kovack Advisors July 2015 - Present
Kovack Securities April 2015 - Present
TradeKing July 2012 - April 2015
1st Discount Brokerage July 2007 - August 2012
intercoastal financial services November 1999 - June 2006
jw genesis March 1998 - November 1999
Skills
options trading,..., Equity Trading, brokerage operations..., position trading, institutional and..., Series 7, series53, series4, series24, series55, Options, Investments, Trading, Market Making, Securities, Equities, FINRA, Series 63, ETFs, Fixed Income, Mutual Funds, Capital Markets, Risk Management, Hedge Funds, Series 24, Electronic Trading
Education
University of Connecticut 1985 — 1989
Bachelor of Arts (B.A.), Economics
norwalk high school
norwalk high school
norwalk high school
Kovack Securities August 2015 - Present
Kovack advisors August 2015 - Present
Kovack advisors August 2015 - Present
Kovack Securities August 2015 - Present
Kovack Advisors July 2015 - Present
Kovack Securities April 2015 - Present
TradeKing July 2012 - April 2015
1st Discount Brokerage July 2007 - August 2012
intercoastal financial services November 1999 - June 2006
jw genesis March 1998 - November 1999
Skills
options trading,..., Equity Trading, brokerage operations..., position trading, institutional and..., Series 7, series53, series4, series24, series55, Options, Investments, Trading, Market Making, Securities, Equities, FINRA, Series 63, ETFs, Fixed Income, Mutual Funds, Capital Markets, Risk Management, Hedge Funds, Series 24, Electronic Trading
Education
University of Connecticut 1985 — 1989
Bachelor of Arts (B.A.), Economics
norwalk high school
norwalk high school
norwalk high school
John A. Rojas, CFP®'s 1st Discount Brokerage Experience February 2000 - June 2003
Job Financial Advisor | Vice President | CERTIFIED FINANCIAL PLANNER™
Industry Financial Services
Experience
Ameriprise Financial Services, Inc. February 2015 - Present
Wells Fargo Advisors, LLC July 2003 - February 2015
1st Discount Brokerage February 2000 - June 2003
Army June 1991 - September 1993
Skills
Strategic Planning, Insurance Broker/Agent, Employee Benefits, Client Management, Public Speaking, Small Business Planning, Business Strategy, Strategic Partnerships, Protection Planning, Business Planning, Risk Management, Education Planning
Education
Palm Beach Atlantic University 2007 — 2012
Bachelor's degree, Organizational Management
Ameriprise Financial Services, Inc. February 2015 - Present
Wells Fargo Advisors, LLC July 2003 - February 2015
1st Discount Brokerage February 2000 - June 2003
Army June 1991 - September 1993
Skills
Strategic Planning, Insurance Broker/Agent, Employee Benefits, Client Management, Public Speaking, Small Business Planning, Business Strategy, Strategic Partnerships, Protection Planning, Business Planning, Risk Management, Education Planning
Education
Palm Beach Atlantic University 2007 — 2012
Bachelor's degree, Organizational Management
Tony Pi Tony Pi's 1st Discount Brokerage Experience January 2007 - August 2007
Job Financial Services Consultant
Industry Financial Services
Experience
RPM One May 2014 - Present
Self Employed April 2010 - April 2014
Broad Street Securities March 2009 - March 2010
First American Capital & Trading Corp. August 2007 - February 2009
1st Discount Brokerage January 2007 - August 2007
Skills
Series 7, Equities, Mutual Funds, Options, Trading, Bonds, Series 63, Fixed Annuities, Uniform Combined State..., Retirement Planning, Securities, Investments, Portfolio Management, Strategic Financial..., Wealth Management, Financial Services
Education
Northern Arizona University 1996 — 2001
BSBA, Business Economics
Louisiana State University 1994 — 1995
De La Salle
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
RPM One May 2014 - Present
Self Employed April 2010 - April 2014
Broad Street Securities March 2009 - March 2010
First American Capital & Trading Corp. August 2007 - February 2009
1st Discount Brokerage January 2007 - August 2007
Skills
Series 7, Equities, Mutual Funds, Options, Trading, Bonds, Series 63, Fixed Annuities, Uniform Combined State..., Retirement Planning, Securities, Investments, Portfolio Management, Strategic Financial..., Wealth Management, Financial Services
Education
Northern Arizona University 1996 — 2001
BSBA, Business Economics
Louisiana State University 1994 — 1995
De La Salle
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
Florida Atlantic University
Jon Maples, CLTC's 1st Discount Brokerage Experience October 2008 - July 2012
Job Entrepreneurial mindset, committed to performance excellence, revenue growth and client satisfaction.
Industry Financial Services
Experience
Families First of Palm Beach County December 2012 - Present
Northwestern Mutual October 2012 - Present
1st Discount Brokerage October 2008 - July 2012
ATZSOMAK A to Z Social Marketing January 2010 - June 2012
PC Domains May 2003 - August 2010
IT Solutions of South Fl September 2008 - October 2008
Palm Beach County Convention Center October 2007 - June 2008
The Breakers January 2006 - August 2007
Skills
IT Management, Customer Relations, Portfolio Management, Analysis, Financial Planning, Investments, Problem Solving, Team Building, Outlook, Research, Customer Service, Social Media Marketing, Strategic Financial..., Online Marketing, Time Management, Networking, Risk Management, Management, Sales, Marketing, CRM, Entrepreneurship, Equities, Negotiation, Project Management, Customer Satisfaction, Digital Marketing, Securities
Education
Palm Beach Atlantic University 2001 — 2005
CIS, Computer Information Systems
PC Professor 2005 — 2007
MCSE, Techonolgy
Families First of Palm Beach County December 2012 - Present
Northwestern Mutual October 2012 - Present
1st Discount Brokerage October 2008 - July 2012
ATZSOMAK A to Z Social Marketing January 2010 - June 2012
PC Domains May 2003 - August 2010
IT Solutions of South Fl September 2008 - October 2008
Palm Beach County Convention Center October 2007 - June 2008
The Breakers January 2006 - August 2007
Skills
IT Management, Customer Relations, Portfolio Management, Analysis, Financial Planning, Investments, Problem Solving, Team Building, Outlook, Research, Customer Service, Social Media Marketing, Strategic Financial..., Online Marketing, Time Management, Networking, Risk Management, Management, Sales, Marketing, CRM, Entrepreneurship, Equities, Negotiation, Project Management, Customer Satisfaction, Digital Marketing, Securities
Education
Palm Beach Atlantic University 2001 — 2005
CIS, Computer Information Systems
PC Professor 2005 — 2007
MCSE, Techonolgy
David Sabo David Sabo's 1st Discount Brokerage Experience June 2004 - December 2008
Job Registered Representative
Industry Financial Services
Experience
Independence Capital Company July 2009 - Present
1st Discount Brokerage June 2004 - December 2008
Morgan Stanley December 1998 - December 2003
Skills
Investments, Wealth Management, Financial Analysis, Series 7, Alternative Investments, Stocks, Securities, Bonds, Strategic Financial..., Retirement Planning, Insurance, Asset Management, Asset Allocation, Investment Advisory, Mutual Funds, Retirement, Series 63, Financial Planning, Portfolio Management, Finance, Financial Services
Education
Kent State University 1993 — 1998
Bachelor Business, Business Management - Marketing
Independence Capital Company July 2009 - Present
1st Discount Brokerage June 2004 - December 2008
Morgan Stanley December 1998 - December 2003
Skills
Investments, Wealth Management, Financial Analysis, Series 7, Alternative Investments, Stocks, Securities, Bonds, Strategic Financial..., Retirement Planning, Insurance, Asset Management, Asset Allocation, Investment Advisory, Mutual Funds, Retirement, Series 63, Financial Planning, Portfolio Management, Finance, Financial Services
Education
Kent State University 1993 — 1998
Bachelor Business, Business Management - Marketing
Dayli Aleman Dayli Aleman's 1st Discount Brokerage Experience August 1997 - November 2013
Job Compliance Consultant at Gordian Compliance Solutions
Industry Financial Services
Experience
Gordian Compliance Solutions, LLC May 2015 - Present
INTL FCStone Securities, Inc. January 2014 - May 2015
1st Discount Brokerage August 1997 - November 2013
Skills
Accounting, Securities, Investments, Customer Service, Mutual Funds, Equities, Microsoft Word, Retirement Planning, Wealth Management, Asset Management, Financial Analysis, Financial Services, Microsoft Excel, Insurance
Education
Palm Beach State College
Gordian Compliance Solutions, LLC May 2015 - Present
INTL FCStone Securities, Inc. January 2014 - May 2015
1st Discount Brokerage August 1997 - November 2013
Skills
Accounting, Securities, Investments, Customer Service, Mutual Funds, Equities, Microsoft Word, Retirement Planning, Wealth Management, Asset Management, Financial Analysis, Financial Services, Microsoft Excel, Insurance
Education
Palm Beach State College
David Waisblum's 1st Discount Brokerage Experience 1998 - 2003
Job Frisbee / Hacky Sack Brand Manager at WhamO Inc. and Owner, Discgowhere Clothing
Industry Consumer Goods
Experience
Wham-O Inc. OwnerDiscgowhere ClothingFrisbee Product ManagerWham-O2004 - Present
Wham-O 2004 - 2009
1st Discount Brokerage 1998 - 2003
Education
San Francisco State University, College of Business 1992 — 1995
Wham-O Inc. OwnerDiscgowhere ClothingFrisbee Product ManagerWham-O2004 - Present
Wham-O 2004 - 2009
1st Discount Brokerage 1998 - 2003
Education
San Francisco State University, College of Business 1992 — 1995
Romel Hossain's 1st Discount Brokerage Experience May 2001 - May 2002
Job Director of Treasury
Industry Financial Services
Experience
EMC (Emerging Markets Communications) August 2015 - Present
EMPLOYERS August 2009 - July 2015
AmComp Inc December 2005 - August 2009
Ocwen May 2002 - December 2005
1st Discount Brokerage May 2001 - May 2002
Skills
Treasury, Insurance, Risk Management, Workers Compensation, Financial Analysis, Strategic Financial..., Sarbanes-Oxley Act, Internal Controls, Property & Casualty..., Financial Reporting, Process Improvement, Mergers & Acquisitions, Budgets, Analysis, Banking, Business Analysis, Due Diligence
Education
University of Florida 1997 — 2000
BS, Finance with a minor in Economics
EMC (Emerging Markets Communications) August 2015 - Present
EMPLOYERS August 2009 - July 2015
AmComp Inc December 2005 - August 2009
Ocwen May 2002 - December 2005
1st Discount Brokerage May 2001 - May 2002
Skills
Treasury, Insurance, Risk Management, Workers Compensation, Financial Analysis, Strategic Financial..., Sarbanes-Oxley Act, Internal Controls, Property & Casualty..., Financial Reporting, Process Improvement, Mergers & Acquisitions, Budgets, Analysis, Banking, Business Analysis, Due Diligence
Education
University of Florida 1997 — 2000
BS, Finance with a minor in Economics
Bob Iles's 1st Discount Brokerage Experience August 2008 - December 2013
Job Subject Matter Expert at FIRE Solutions
Industry Financial Services
Experience
FIRE Solutions February 2011 - Present
1st Discount Brokerage August 2008 - December 2013
Emmett A. Larkin Company, Inc February 2007 - September 2009
1st Discount Brokerage November 2003 - February 2007
1st Discount Brokerage August 2002 - November 2003
Thomas F. White & Company August 1999 - August 2002
2 Places At 1 Time, Inc November 1998 - August 1999
Alta Plaza Restaurant & Bar April 1994 - November 1998
Cricket's Food & Spirits February 1991 - January 1994
Doubletree Hotel August 1983 - January 1994
Skills
Mutual Funds, Series 7, Compliance, Microsoft Office, Writing, Securities, Analysis, Word, Equities, FINRA, Financial Analysis, Financial Services, Uniform Combined State..., Trading, Wealth Management, Training, Alternative Investments, Asset Management, Options
Education
City College of San Francisco 1995 — 1997
Associates, General
The University of Kansas
FIRE Solutions February 2011 - Present
1st Discount Brokerage August 2008 - December 2013
Emmett A. Larkin Company, Inc February 2007 - September 2009
1st Discount Brokerage November 2003 - February 2007
1st Discount Brokerage August 2002 - November 2003
Thomas F. White & Company August 1999 - August 2002
2 Places At 1 Time, Inc November 1998 - August 1999
Alta Plaza Restaurant & Bar April 1994 - November 1998
Cricket's Food & Spirits February 1991 - January 1994
Doubletree Hotel August 1983 - January 1994
Skills
Mutual Funds, Series 7, Compliance, Microsoft Office, Writing, Securities, Analysis, Word, Equities, FINRA, Financial Analysis, Financial Services, Uniform Combined State..., Trading, Wealth Management, Training, Alternative Investments, Asset Management, Options
Education
City College of San Francisco 1995 — 1997
Associates, General
The University of Kansas
Branislava Thorstad's 1st Discount Brokerage Experience July 2007 - February 2013
Job Account Executive at Crossroads Financial
Industry Financial Services
Experience
Crossroads Financial July 2013 - Present
1st Discount Brokerage July 2007 - February 2013
Skills
Uniform Combined State..., Fixed Income, Alternative Investments, Mutual Funds, Education Funding, Investment Advisory, Wealth Management, 401k, Retirement Planning, Investments, IRAs, Equities, Series 24, Series 7, ETFs, FINRA, Retirement, Series 63
Education
Palm Beach Atlantic University 2006 — 2008
Master of Business Administration
Palm Beach Atlantic University 2002 — 2004
Bachelor of Science
Florida Atlantic University
Master of Accounting
Crossroads Financial July 2013 - Present
1st Discount Brokerage July 2007 - February 2013
Skills
Uniform Combined State..., Fixed Income, Alternative Investments, Mutual Funds, Education Funding, Investment Advisory, Wealth Management, 401k, Retirement Planning, Investments, IRAs, Equities, Series 24, Series 7, ETFs, FINRA, Retirement, Series 63
Education
Palm Beach Atlantic University 2006 — 2008
Master of Business Administration
Palm Beach Atlantic University 2002 — 2004
Bachelor of Science
Florida Atlantic University
Master of Accounting
Noel Sinclair's 1st Discount Brokerage Experience August 2002 - July 2008
Job Chief Compliance Officer
Industry Financial Services
Experience
Registered Investment Advisor July 2008 - Present
1st Discount Brokerage August 2002 - July 2008
Acument Securities April 1996 - August 2002
Agincourt November 1989 - November 1990
Bear Stearns January 1976 - January 1986
Skills
Investments, Equities, Series 7, ETFs, Securities, Wealth Management
Education
Roosevelt University 1977 — 1979
Bachelor of Arts, Political Science
Registered Investment Advisor July 2008 - Present
1st Discount Brokerage August 2002 - July 2008
Acument Securities April 1996 - August 2002
Agincourt November 1989 - November 1990
Bear Stearns January 1976 - January 1986
Skills
Investments, Equities, Series 7, ETFs, Securities, Wealth Management
Education
Roosevelt University 1977 — 1979
Bachelor of Arts, Political Science
Jenny Duncan's 1st Discount Brokerage Experience November 2007 - October 2008
Job Compliance Consultant at Financial Services Firm
Industry Financial Services
Experience
Major Financial Services Firm December 2014 - Present
Major Financial Services Firm July 2012 - December 2014
Banyan Partners, LLC September 2010 - October 2011
Oyster Consulting, LLC March 2010 - September 2010
Bonds.com, Inc. October 2008 - March 2010
1st Discount Brokerage November 2007 - October 2008
Davenport & Company, LLC June 2006 - November 2007
Anderson & Strudwick, Inc. March 2004 - June 2006
Wachovia Securities Financial Network June 2003 - February 2004
Wachovia Securities Inc. June 2000 - October 2002
Skills
FINRA, Mutual Funds, Equities, Investment Advisory, Series 24, Series 63, Asset Managment, Fixed Income, Wealth Management, Alternative Investments, OFAC, Series 65, Trading, Series 7, Continuing Education, Investments, Compliance, AML, Securities, Options, Investment Management, Asset Management, Uniform Combined State..., Financial Risk, Brokerage, Financial Markets, Bonds, Financial Services, Capital Markets, Wealth Management..., Asset Allocation, Bloomberg, Private Equity, Retirement Planning, Finance, Risk Management, ETFs, Financial Advisory, KYC, Securities Regulation, Investment Banking, Derivatives, Anti Money Laundering, Regulatory Requirements, Compliance Management
Education
Virginia Commonwealth University - School of Business 1997 — 2000
MBA, Business
Georgia State University 1983 — 1986
MS, Counseling
Georgia State University 1980 — 1983
BS, Psychology
Major Financial Services Firm December 2014 - Present
Major Financial Services Firm July 2012 - December 2014
Banyan Partners, LLC September 2010 - October 2011
Oyster Consulting, LLC March 2010 - September 2010
Bonds.com, Inc. October 2008 - March 2010
1st Discount Brokerage November 2007 - October 2008
Davenport & Company, LLC June 2006 - November 2007
Anderson & Strudwick, Inc. March 2004 - June 2006
Wachovia Securities Financial Network June 2003 - February 2004
Wachovia Securities Inc. June 2000 - October 2002
Skills
FINRA, Mutual Funds, Equities, Investment Advisory, Series 24, Series 63, Asset Managment, Fixed Income, Wealth Management, Alternative Investments, OFAC, Series 65, Trading, Series 7, Continuing Education, Investments, Compliance, AML, Securities, Options, Investment Management, Asset Management, Uniform Combined State..., Financial Risk, Brokerage, Financial Markets, Bonds, Financial Services, Capital Markets, Wealth Management..., Asset Allocation, Bloomberg, Private Equity, Retirement Planning, Finance, Risk Management, ETFs, Financial Advisory, KYC, Securities Regulation, Investment Banking, Derivatives, Anti Money Laundering, Regulatory Requirements, Compliance Management
Education
Virginia Commonwealth University - School of Business 1997 — 2000
MBA, Business
Georgia State University 1983 — 1986
MS, Counseling
Georgia State University 1980 — 1983
BS, Psychology
Claudia Sun's 1st Discount Brokerage Experience September 2000 - May 2007
Job Financial Services Professional
Industry Financial Services
Experience
RBC Wealth Management 2007 - 2011
1st Discount Brokerage September 2000 - May 2007
Skills
Customer Service, Check Processing, Research
Education
San Francisco State University
Bachelors, Business Administration
RBC Wealth Management 2007 - 2011
1st Discount Brokerage September 2000 - May 2007
Skills
Customer Service, Check Processing, Research
Education
San Francisco State University
Bachelors, Business Administration