Broker Dealer

Description

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

Employee
Years
Job
Industry
Kathleen Verlin Kathleen Verlin Greater New York City Area Details
Kathleen Verlin's Broker Dealer Experience June 2008 - December 2009
Job Compliance Officer at UBS
Industry Financial Services
Experience
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

Doug Gray Doug Gray Dallas, Texas Details
Doug Gray's Broker Dealer Experience May 2005 - August 2005
Job Senior Manager, Optimization Solutions at Southwest Airlines
Industry Airlines/Aviation
Experience
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

Grant Hebeisen Grant Hebeisen Greater Minneapolis-St. Paul Area Details
Grant Hebeisen's Broker Dealer Experience January 2014 - Present
Job Securities Trader and Investment Consultant
Industry Financial Services
Experience
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

Pat St.Cin Pat St.Cin United States Details
Pat St.Cin's Broker Dealer Experience October 2008 - April 2014
Job Financial Advisor at VALIC
Industry Photography
Experience
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

Varun C, MBA Varun C, MBA Greater Chicago Area Details
Varun C, MBA's Broker Dealer Experience June 2004 - Present
Job Vice President
Industry Financial Services
Experience
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

Brett Evans Brett Evans Orange County, California Area Details
Brett Evans's Broker Dealer Experience March 2009 - December 2010
Job Securities and Corporate Partner Evans & Kob, PC
Industry Law Practice
Experience
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

Brad Barker Brad Barker New York, New York Details
Brad Barker's Broker Dealer Experience 2008 - 2012
Job Director of Washington Research Political Intelligence, Bloomberg Intelligence
Industry Financial Services
Experience
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

Susannah Page Susannah Page Greater New York City Area Details
Susannah Page's Broker Dealer Experience March 2014 - Present
Job Senior Vice President Manager of Municipal Research at BrokerDealer
Industry Financial Services
Experience
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

Chandler Zachary Chandler Zachary San Francisco Bay Area Details
Chandler Zachary's Broker Dealer Experience June 2015 - Present
Job Finance Professional
Industry Capital Markets
Experience
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

Sandra Ann Sutter Sandra Ann Sutter Dallas/Fort Worth Area Details
Sandra Ann Sutter's Broker Dealer Experience August 2012 - September 2013
Job Designated Principal at LPL Financial
Industry Financial Services
Experience
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.)

Christopher Chakkalapadavil Christopher Chakkalapadavil Greater Atlanta Area Details
Christopher Chakkalapadavil's Broker Dealer Experience January 2014 - Present
Job Senior Broker Stock Plans at Broker Dealer
Industry Financial Services
Experience
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

Kevin Lange Kevin Lange Greater Chicago Area Details
Kevin Lange's Broker Dealer Experience November 2011 - Present
Job Associate, Fixed Income MBS Strategy at Broker Dealer
Industry Financial Services
Experience
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

Howard Stein Howard Stein Greater New York City Area Details
Howard Stein's Broker Dealer Experience March 2010 - September 2012
Job Chief Financial Officer at InterContinental Capital Group, Inc.
Industry Financial Services
Experience
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

Cindy Brown Cindy Brown Birmingham, Alabama Area Details
Cindy Brown's Broker Dealer Experience Head of Fixed Income ComplianceBroker DealerSeptember 2010 - Present
Job SVP at BBVA Compass
Industry Banking
Experience
Broker Dealer   Head of Fixed Income ComplianceBroker DealerSeptember 2010 - Present
BBVA Compass  March 1988 - August 2010

Education
University of Alabama   1977 — 1980
BS

Jeff Duchin Jeff Duchin Dallas/Fort Worth Area Details
Jeff Duchin's Broker Dealer Experience June 1998 - Present
Job Senior Vice President
Industry Financial Services
Experience
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

Farley Barnhardt III Farley Barnhardt III Greater Boston Area Details
Farley Barnhardt III's Broker Dealer Experience May 2000 - Present
Job Broker at BrokerDealer
Industry Financial Services
Experience
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

Greg Bolton Greg Bolton Greater Omaha Area Details
Greg Bolton's Broker Dealer Experience October 2004 - March 2011
Job General Counsel/Compliance Officer
Industry Insurance
Experience
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

Philip Villaluz Philip Villaluz Greater New York City Area Details
Philip Villaluz's Broker Dealer Experience October 2010 - May 2014
Job Head of Municipal Research at Schroders
Industry Financial Services
Experience
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

Ellen Michael Ellen Michael Birmingham, Alabama Area Details
Ellen Michael's Broker Dealer Experience March 2006 - Present
Job Director of Marketing and Marketing Communications
Industry Financial Services
Experience
Broker Dealer   March 2006 - Present
Protective Life  1996 - 2007

Skills
Insurance, Fixed Annuities

Education
University of Arkansas
BS, Fine Arts

Rodolfo Riverol Rodolfo Riverol Greater New York City Area Details
Rodolfo Riverol's Broker Dealer Experience January 2011 - September 2011
Job Public Finance Professional Seeking Employment, Consulting or Other Opportunities
Industry Banking
Experience
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