Alaric Compliance Services, LLC
Address: 150 Broadway #302, New York, NY 10038 Phone: (888) 243-2448: Category: : : : Place name: Hours: : Website: : Website: http://www.alariccompliance.com/ Category: Financial Planner Suggest an editUnable to add this file. Please check that it is a valid photo. Unable to add this file. Please check that it is a valid photo.Add missing informationAdd business hours Unable to add this file. Please check that it is a valid photo. Questions & answers Ask a questionBe the first to ask a question Add a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of Alaric Compliance Services Llc Posting publicly on the Web Write a review Reviews Be the first to review
Alaric Compliance Services, LLC List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Alaric Compliance Services, LLC. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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Alaric Compliance Services, LLC Employees
Post Advisory Group September 2015 - Present
Ares Management November 2014 - May 2015
Alaric Compliance Services, LLC July 2011 - November 2014
Transamerica Investment Management LLC May 2008 - July 2011
Nuveen Investments 2005 - May 2008
NWQ Investment Management, LLC July 1998 - 2005
NWQ Investment Management, LLC 1991 - May 1998
Skills
Securities, Investment Management, Mutual Funds, Hedge Funds, Investments, Fixed Income, Equities, Alternative Investments, Financial Services, Capital Markets, SEC, Policy, Derivatives, FINRA, ERISA, GIPS Compliance, Investment Guideline..., Series 7, Fund Of Funds, Investment Advisory, Compliance, Private Equity, EDGAR filings, ETFs, Securities Regulation, Asset Management, Asset Allocation, Portfolio Management, Trading, Series 63, Policy & Procedures..., Regulatory Requirements, Investment Advisor..., Investment Companies, Closed-end Funds, Program Development, Charles River IMS, Research Commissions..., Political Contributions..., Form PF Reporting, Due Diligence, AML, Bloomberg, Management, Risk Management, Anti Money Laundering
Education
California State University-Fullerton - College of Business and Economics 1986 — 1988
MBA, Finance
California State University-Fullerton
B.A., Finance emphasis
Kingsdale Shareholder Services September 2015 - Present
Alaric Compliance Services, LLC October 2014 - September 2015
Alliance Advisors, LLC August 2010 - September 2014
AST Fund Solutions January 2009 - August 2010
UPT Strategies January 2007 - May 2009
Craig Romero for Congress 2006 - 2006
Forrester for Governor 2005 - 2005
Skills
Management, Sales Management, Sales Operations, New Business Development, Business Development, Investor Relations, Corporate Governance, Hedge Funds, Mergers & Acquisitions, IPO, Capital Markets, Mergers, Venture Capital, Financial Services, Mutual Funds, Corporate Law, Executive Pay, Strategy, Customer Service, Strategic Planning, Business Strategy, Securities, Due Diligence, Investments, Equities
Education
Rider University 2003 — 2007
Political Science, Political Science
Rider University
Political Science
Alaric Compliance Services, LLC January 2015 - Present
Charles Rutenberg Realty Inc. January 2015 - Present
Amanda Selwyn Dance Theatre and Notes in Motion Outreach Dance Theatre 2011 - Present
The Heddings Property Group, LLC November 2011 - October 2014
American Express February 2007 - January 2009
American Express November 2005 - March 2007
Education
Columbia University School of Law
Masters, Law
Alaric Compliance Services, LLC September 2007 - Present
Businessedge Solutions January 2007 - June 2007
Pershing April 1996 - January 2007
Skills
Financial Services, Broker-Dealer, Investments, Hedge Funds, Options, Trading, Accounting, Mutual Funds, Best Execution, Capital Markets, Equities, Fund Of Funds, Fixed Income, Alternative Investments
Education
Manhattan College
Archbishop Stepinac High School 1982 — 1986
Sacred Heart- Dobbs Ferry
UBS Investment Bank November 2014 - Present
UBS Investment Bank July 2014 - November 2014
Alaric Compliance Services, LLC October 2013 - October 2013
Consumer Bankruptcy Project- New York City Bar Association January 2013 - May 2013
Center for Financial Services Law August 2011 - May 2013
Professor Houman Shadab January 2012 - December 2012
Lexis Nexis August 2011 - December 2012
Alaric Compliance Services, LLC June 2012 - September 2012
Professor Houman Shadab September 2011 - December 2011
Linkage, Inc. September 2008 - July 2010
Skills
Social Media, Contract Negotiation, Training, Sales, Courts, Banking, Leadership Development, Research, Investments, Finance, Proposal Writing, Securities, Legal Writing, Bankruptcy, Legal Research, Financial Services
Education
New York Law School 2010 — 2013
J.D.
Georgia State University 2009 — 2009
M.S., Sport Business Management
The University of Kansas 2003 — 2006
B.S., Journalism
Alaric Compliance Services, LLC June 2015 - Present
Englewood Field Club November 2014 - Present
Montammy Golf Club April 2010 - Present
Danfords Hotel & Marina June 2015 - July 2015
Mount Berry Culinary August 2014 - June 2015
Cipriani Wall St November 2014 - January 2015
Main Event Caterers December 2013 - December 2014
Skills
Microsoft Excel, Bartending, Microsoft Word, Microsoft PowerPoint
Education
University of Denver - Daniels College of Business 2014 — 2018
Accounting and Finance, Sophomore
University of Denver 2013 — 2017
Alaric Compliance Services, LLC March 2009 - Present
Bear Stearns Asset Management, Inc. / Bear Stearns & Co. Inc. June 2001 - January 2009
PIMCO Advisers, LP November 1999 - May 2001
HSBC Asset Management Americas, Inc. January 1997 - July 1999
Smith Barney January 1987 - December 1996
European American Bank October 1986 - December 1987
Skills
Hedge Funds, Investment Advisory, Asset Management, Investments, Equities, Asset Managment, Investment Management, Private Equity, Fixed Income, SEC, Series 24, FINRA, AML, Alternative Investments, Securities, Financial Advisory, Fund Of Funds, Commodity, Mutual Funds, Capital Markets, Financial Services, Securities Regulation, Series 63, Series 7, Anti Money Laundering
Education
Syracuse University 1981 — 1985
B.S., Accounting
Navigant Consulting May 2013 - October 2013
Alaric Compliance Services LLC October 2008 - June 2012
Ryan Beck & Co (acquired Gruntal & Co) June 2004 - August 2007
Skills
Analysis, Investments, Fixed Income, Securities, Auditing, Leadership, FINRA, Management, Trading, Due Diligence, Equities, Hedge Funds, Asset Management, Capital Markets, Series 7, Fundraising, Series 63, Policy, Mutual Funds
Education
City University of New York
B.S., Business Administration
Alaric Compliance Services, LLC September 2015 - Present
Ruderman World Tour Wrestling Camp January 2010 - Present
Alaric Compliance Services, LLC May 2015 - September 2015
Lehigh University August 2012 - August 2014
Versace USA January 2012 - August 2012
Tribeca Film Festival February 2011 - May 2011
Skills
Marketing, Advertising, Competitive Analysis, Entrepreneurship, Research, Market Research, Management, Valuation, Marketing Strategy, Fundraising, Event Planning, Capital Markets, Investment Banking, Public Speaking, Marketing Communications, Sports, E-commerce, PowerPoint, Fashion, Event Management, Microsoft Office, Leadership, Budgets, Microsoft Excel, Strategy, Sales
Education
Lehigh University 2011 — 2015
Bachelor of Science (B.S.), Economics and Sociology
OWASP Foundation November 2014 - Present
Architecture_media_politics_society, Ravensbourne University, Adelphi University, UCL Press June 2014 - Present
GISMO (Geospatial Information Systems and Mapping Organization) April 2013 - Present
Noreen Y. Whysel January 1997 - Present
Alaric Compliance Services, LLC May 2009 - Present
Architecture_media_politics_society, Ravensbourne University, Adelphi University December 2013 - June 2014
Information Architecture Institute August 2005 - April 2014
Center for Digital Research and Scholarship, Columbia University September 2013 - December 2013
MacCrate Associates July 1997 - November 2010
Start-up Technology Firm June 2010 - October 2010
Skills
Information Architecture, Information Management, User Experience Design, Accessibility, Databases, GIS, Usability Testing, User Experience, User-centered Design, Interaction Design, User Interface Design, Content Strategy, Content Management, Usability, Project Management, CMS, Blogging, Mobile Applications, SEO, SharePoint, Web Design, Persona, User Interface, Strategy, Wireframes, Usability Engineering, Training, User Scenarios, Agile Project Management, Knowledge Management, Information Design, Web 2.0, Web Analytics, User Research, Experience Design, Heuristic Evaluation, Card Sorting, Human Computer..., Ethnography, Contextual Inquiry, Service Design, Task Analysis, Digital Strategy, Web Project Management, Web Strategy, Rapid Prototyping, Wire Framing
Education
Pratt Institute 2012 — 2014
Master of Science in Library & Information Science (MSLIS), User Experience, Digital Humanities and Cultural Informatics, 4.0
Columbia University in the City of New York 1986 — 1990
BA, Psychology
Alaric Compliance Services, LLC March 2008 - Present
The Corcoran Group May 2005 - December 2008
morgan stanley 2002 - 2005
American Express Company July 1978 - April 1998
Education
Seton Hall University 1971 — 1975
BS, Accounting
Fordham Gabelli School of Business
MBA, Marketing
W Capital Partners January 2014 - Present
Alaric Compliance Services, LLC 2010 - 2013
Tiedemann Trust Company 2001 - 2007
Skills
Risk Management, Asset Management, Investments, Equities, Due Diligence, Securities, Capital Markets, Investment Banking, Financial Risk, Alternative Investments, Fixed Income, Hedge Funds, Portfolio Management, Financial Analysis, Wealth Management, Financial Services, Derivatives, Banking, AML, Private Equity
Education
Columbia University - Columbia Business School
MBA
San Diego State University-California State University
BS, Business Administration
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Alaric Compliance Services, LLC February 2015 - Present
Veritas Compliance, LLC July 2014 - September 2015
Forethought Financial Group, Inc. 2012 - 2014
Prudential Financial 2007 - 2012
The Phoenix Companies 1997 - 2007
The Hartford 1994 - 1996
John Hancock Financial Services 1992 - 1994
Skills
Leadership, FINRA, Series 24, Securities, Series 63, Mutual Funds, Series 7, Insurance, Financial Services, Fixed Annuities, Series 6, Investments, AML, Investment Advisory, Process Improvement, Retirement, Retirement Planning, Risk Management, SEC, Securities Regulation, Variable Annuities, Due Diligence, Mergers & Acquisitions, Anti Money Laundering
Education
FINRA Institute at Wharton 2004 — 2006
Certified Regulatory and Compliance Professional
The American College 1996 — 2001
Chartered Life Underwriter
The University of Connecticut 1989 — 1992
Bachelor of Arts (B.A.), English Language and Literature/Letters
First Trust April 2013 - Present
The Northern Trust Company January 2011 - April 2013
Resilire Partners LLC May 2010 - August 2010
RESILIRE PARTNERS LLC May 2010 - August 2010
Kawamura Capital Partners LLC November 2009 - May 2010
KAWAMURA CAPITAL PARTNERS LLC November 2009 - May 2010
Alaric Compliance Services, LLC January 2009 - November 2009
Driehaus Capital Management, LLC April 2000 - October 2008
Driehaus Capital Management LLC March 2000 - October 2008
ALLSTATE FINANCIAL SERVICES, LLC June 2003 - October 2004
Skills
Corporate Governance, Securities
Education
The John Marshall Law School 1998 — 2002
JD, Securities Law
Keller Graduate School of Management
Master, Business Administration
Western Illinois University
Bachelor of Business Administration, Finance
Alaric Compliance Services, LLC April 2011 - Present
Steelbridge Compliance LLC December 2010 - April 2011
Self-employed July 2009 - November 2010
ACA Compliance Group January 2006 - July 2009
Bank of America April 2001 - December 2005
U.S. Securities and Exchange Commission September 2000 - March 2001
Rodney Square Management Corporation August 1996 - April 1999
Aid Association for Lutherans September 1995 - August 1996
United Services Automobile Association April 1994 - September 1995
U.S. Securities and Exchange Commission July 1987 - April 1994
Education
Georgetown University Law Center
LL.M -- Securities Regulation
University of Richmond School of Law 1974 — 1977
JD
Davidson College 1969 — 1973
AB, History