Cipperman Compliance Services, LLC
Address: 480 Swedesford Rd, Wayne, PA 19087 Hours: Closed ⋅ Opens 9AM Mon SaturdayClosedSundayClosedMonday9AM–5PMTuesday9AM–5PMWednesday9AM–5PMThursday9AM–5PMFriday9AM–5PMSuggest an edit Unable to add this file. Please check that it is a valid photo. Phone: (484) 588-5514: : : Category: Place name: Website: : : : Website: http://www.cippermancs.com/ Category: Financial consultant 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 a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of Cipperman Compliance Services, LLC Posting publicly on the Web Write a review Reviews Be the first to review
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Cipperman Compliance Services, LLC Employees
Nationwide Insurance June 2015 - Present
Hartford Funds August 2013 - June 2015
Cipperman Compliance Services, LLC April 2012 - July 2013
Ethos Health Communications May 2011 - April 2012
Ashfield Healthcare March 2010 - October 2010
Old Mutual Asset Management September 2008 - December 2008
SEI January 2006 - September 2008
SEI September 2003 - January 2006
SEI April 2001 - September 2003
Skills
Financial Analysis, Mutual Funds, Investments, Forecasting, Management, Budgets, Analysis, Accounting, Business Planning, Portfolio Management, Contract Negotiation, New Business Development
Education
Saint Joseph's University 2003 — 2007
MBA
Arcadia University
MS in BA
Arcadia University
Bachelor's Degree
Neshaminy High School
Cipperman Compliance Services, LLC September 2014 - Present
BNY Mellon September 2012 - September 2014
BNY Mellon October 2007 - August 2012
BNY Mellon April 2005 - October 2007
Gold's Gym January 2004 - April 2005
Abercrombie & Fitch February 2002 - January 2004
Philadelphia 76ers - Comcast Spectacor May 2001 - August 2001
Skills
Customer Relations, Microsoft Office, Lotus Notes, Problem Solving, Administration, Investments, Teamwork, Accounting, Excel, Customer Service, Team Building, Analysis, Business Development, Project Planning, Microsoft Excel, Management, Finance, Manage Client..., System Administration, Time Management, Leadership
Education
Eastern University - MBA 2009 — 2011
MBA, Business Management
Eastern University 1998 — 2002
Major: Business Management, Minors: Marketing and Administration
Cipperman Compliance Services, LLC September 2015 - Present
Cipperman Compliance Services, LLC April 2013 - Present
BNY Mellon June 2012 - April 2013
Skills
Financial Analysis, Data Analysis, Finance, Analysis, Teamwork, Economics, Leadership, Financial Modeling, Valuation, Research, Appreciation, Management, Investment Advisers Act, Mutual Funds, Due Diligence, Investment Company Act, Access
Education
Saint Joseph's University - Erivan K. Haub School of Business
Bachelor of Science (B.S.) in Business Administration, Finance
Investment Banking Institute
Philadelphia, PA
Cipperman Compliance Services, LLC September 2014 - Present
E*TRADE Financial January 2013 - September 2014
Merrill Lynch December 2010 - October 2012
Merrill Lynch April 2007 - December 2010
Merrill Lynch January 2004 - April 2007
Solution Capital LLC June 2003 - January 2004
Skills
SEC Regulations, SEC Filings, Securities Regulation, Investment Company Act, Investment Advisers Act, Risk Management, Investment Advisor..., Compliance Testing, Risk Assessment, Private Equity, FINRA, Risk Based Testing, Financial Services, Auditing, Mutual Funds, Management, SharePoint, User Acceptance Testing, Cognos, Test Planning, Form ADV, Form PF, Due Diligence Review, Soft Dollars
Education
University of Rochester 1999 — 2003
BA, Economics
Cipperman Compliance Services, LLC March 2014 - Present
MassMutual Financial Group 2012 - December 2013
CBRE Clarion Securities September 2009 - May 2012
ING Clarion Real Estate Securities March 2006 - September 2009
Skills
Financial Services, Finance
Education
James Madison University 2002 — 2006
Bachelor of Business Administration (BBA), Finance
Cipperman Compliance Services, LLC August 2014 - Present
Cipperman Compliance Services, LLC April 2013 - August 2014
The Hartford July 2012 - April 2013
Bank of America Merrill Lynch 2010 - 2012
Skills
Series 7, series 63, Compliance, Securities Regulation, Mutual Funds, Microsoft Excel, Securities, Investments, Equities, Portfolio Management, Finance, Sales, Microsoft Office, Asset Allocation, Customer Service, Series 63, Management, Financial Services, Financial Analysis
Education
University of Pittsburgh
BSBA, Accounting
Tower Bridge Advisors March 2012 - Present
Cipperman Compliance Services, LLC March 2009 - March 2012
Verdis Investment Management 2006 - 2008
Preferred Client Group January 2003 - May 2006
SEI Investments 1993 - 2002
PaineWebber June 1990 - December 1992
IBM 1981 - 1989
Skills
Mutual Funds, Investments, Investment Advisory, Financial Services, Asset Managment
Education
Northwestern University - Kellogg School of Management 1988 — 1990
MBA, Finance
The University of Chicago 1977 — 1981
B.A., Mathematics
Cipperman Compliance Services, LLC September 2013 - Present
TD Ameritrade June 2011 - September 2013
Penn Mutual Life Insurance Co./Hornor, Townsend & Kent, Inc. 2005 - 2010
Skills
Series 7, Series 24, FINRA, Securities, Series 63, Mutual Funds, Alternative Investments, Uniform Combined State..., Investment Advisory, Hedge Funds, Financial Services, Wealth Management, Investments, Equities, Asset Allocation, Retirement Planning, Fixed Annuities
Education
Villanova University School of Law 1992 — 1995
JD, Law
Colgate University 1988 — 1992
BA, History
Janney Montgomery Scott LLC February 2014 - Present
Radcliffe Capital Management, L.P. September 2011 - February 2014
Cipperman Compliance Services, LLC January 2010 - July 2011
Cipperman & Company LLC November 2007 - July 2011
Morgan, Lewis & Bockius LLP January 2006 - October 2007
Fiserv Securities, Inc. January 2004 - December 2005
Klehr Harrison Harvey Branzburg LLP January 2000 - January 2004
Skills
Compliance, Investment Advisory, Securities, SEC, Corporate Law, Broker-Dealer, Securities Regulation, Investments, Financial Services, Corporate Governance, Due Diligence, FINRA, Hedge Funds, Litigation, Private Equity, Asset Management
Education
Widener University School of Law 1996 — 2000
J.D.
King's College 1989 — 1993
B.A., History
Cipperman Compliance Services, LLC February 2014 - Present
The Vanguard Group July 2013 - January 2014
The Vanguard Group November 2010 - June 2013
The Vanguard Group December 2006 - October 2010
The Vanguard Group July 2004 - November 2006
The Vanguard Group April 1999 - June 2004
Skills
FINRA, Series 24, Series 7, Securities Regulation, SEC, Mutual Funds, Alternative Investments, Compliance, FINRA Advertising..., Ski Instructor, Level 1..., Building Relationships, Finance, Investments, Securities, Series 63, Investment Advisory, Financial Services
Education
Syracuse University, S.I. Newhouse School of Public Communications 1988 — 1990
Master of Professional Studies, Communications/Business
Syracuse University College of Law 1987 — 1990
J.D.
University of Rochester 1982 — 1986
BA, History
Commonwealth School 1978 — 1982
HighTower May 2015 - Present
HighTower February 2014 - April 2015
Philadelphia Freedom Valley YMCA June 2009 - February 2015
The North Highland Company March 2012 - February 2014
Cipperman Compliance Services, LLC September 2011 - March 2012
Graystone Wealth Management & Private Bank February 2010 - August 2011
BNY Mellon Wealth Management January 2007 - February 2010
Brinker Capital May 2003 - January 2007
SEI Investments August 1997 - May 2003
Skills
Wealth Management, Business Strategy, New Business Development, Investment Advisory, Strategic Planning, Strategy, Sales Management, Investments, Competitive Analysis, Executive Management, Alternative Investments, Business Development, Asset Management, Leadership, Strategy Development, Practice Management, Financial Advisory, Sales Leadership, Marketing Strategy, Sales Process..., Market Penetration, Cross Selling, Product Development, Team Building, Relationship Cultivation, Product Marketing, Management Consulting, Consulting, Business Planning, Social Marketing, Social Media, Social Media Marketing, Performance Improvement, Unified Managed Accounts, Separately Managed..., Mutual Funds, Strategic Financial..., Financial Services, Relationship Management, Retirement, Wealth Management..., Management, High Net Worth..., Financial Planning
Education
Boston College 1993 — 1997
BA, Economics
Cipperman Compliance Services, LLC February 2015 - Present
Brandywine Global Investment Management January 2014 - February 2015
Delaware Investments, a member of the Macquarie Group April 2013 - December 2013
Delaware Investments, a member of the Macquarie Group May 2008 - April 2013
Skills
Accounting, Financial Analysis, Mutual Funds, Portfolio Management, Financial Reporting, Financial Modeling, Finance, Bloomberg, Cash Flow, Account Reconciliation, Securities, Strategic Financial..., Pivot Tables, Corporate Finance, Investments, Mergers & Acquisitions, Internal Controls, Equities, Fixed Income, Auditing, Valuation, Financial Services, Asset Allocation, Asset Management, Data Analysis, Risk Management, VBA, Due Diligence, Derivatives, Managerial Finance, Alternative Investments, Business Analysis, Variance Analysis, Budgets, SAP, Business Process..., Capital Budgeting, Financial Statements, Hedge Funds, Trading, Private Equity, Cash Management, Financial Risk, Investment Management, SEC filings, Analysis, Microsoft Excel, Internal Audit, Series 7, Access
Education
Drexel University 2008 — 2011
Master of Business Administration (MBA), Financial Management
Drexel University 2004 — 2007
BSBA, International Business
Drexel University 2004 — 2007
BA of Science, Economics
Cipperman Compliance Services, LLC April 2014 - Present
Echo Point Investment Management, LLC October 2010 - January 2014
Invesco Ltd. June 2010 - September 2010
Morgan Stanley Investment Management March 2004 - May 2010
Skills
Asset Managment, Asset Allocation, Mutual Funds, Alternative Investments, Fixed Income, Investment Strategies, Series 63, Bloomberg, Securities, Investment Management, Capital Markets, Financial Services, Asset Management
Education
Villanova University
Master of Business Administration (MBA)
Cornell University 1998 — 2002
Bachelor of Science (BS), Hotel/Motel Administration/Management
The Haverford School 1994 — 1998
Cipperman Compliance Services, LLC October 2014 - Present
Vanguard 2011 - October 2014
Vanguard June 2006 - February 2011
Ferris, Baker, Watts 2004 - 2006
Janney Montgomery Scott 1999 - 2004
Skills
FINRA, Series 7, Securities, Mutual Funds, AML, Series 63, Equities, Uniform Combined State..., Series 24, Risk Management, Investment Advisory, Financial Risk, Series 14, Series 9, Series 10, Series 55, Fixed Income, ETFs, Alternative Investments
Education
Bentley College 1988 — 1992
BS, Economics/Finance