Financial Industry Regulatory Authority
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. Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C., United States Founded: 30 July 2007 CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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Financial Industry Regulatory Authority Employees
Financial Industry Regulatory Authority November 2012 - Present
Essextec July 2012 - Present
University of Pennsylvania, Weigle Information Commons September 2010 - May 2012
University of Pennsylvania, SIG Center for Computer Graphics June 2011 - August 2011
Summer Academy in Applied Science and Technology (SAAST) July 2011 - July 2011
Unity Health System July 2010 - January 2011
University of Pennsylvania, CG@Penn Research December 2008 - January 2009
Skills
HTML, CSS, JavaScript, jQuery, User Interface Design, Adobe Creative Suite, Photoshop, Java, Maya, C++, Modeling, Animation, Web Design, HTML 5, Data Modeling, Computer Graphics, HTML5, SASS, AngularJS, Autodesk Maya, Video Editing, Business Requirements, Wireframes, Quality Assurance, Final Cut Pro, Unity3D
Education
University of Pennsylvania 2008 — 2012
BSE, Digital Media Design
Spencerport High School 2004 — 2008
High School
TIAA-CREF October 2014 - Present
TIAA-CREF (through Collabera) May 2014 - October 2014
Microsoft (through WiPro Ltd.) June 2013 - May 2014
Financial Industry Regulatory Authority February 2013 - June 2013
Financial Industry Regulatory Authority November 2011 - February 2013
Geek Squad May 2008 - November 2011
Skills
Computer Hardware, Visual C#, Powershell, VBScript, SQL, VB.NET, HTML, ASP.NET, Troubleshooting, SCCM, Java, Networking, Active Directory, Microsoft SQL Server, Windows Server, Servers, Operating Systems, VMware, Windows, Security
Education
University of Maryland University College 2008 — 2013
Bachelor's degree, Computer Science, Computer Networks and Security
RBC Capital Markets 2012 - Present
Wells Fargo Advisors August 2010 - January 2012
Morgan Stanley Smith Barney July 2008 - August 2010
Morgan Stanley April 2006 - July 2008
Morgan Stanley July 2004 - April 2006
Morgan Stanley May 2002 - June 2004
Morgan Stanley June 2001 - May 2002
Financial Industry Regulatory Authority March 2000 - March 2001
LPL Financial May 1998 - March 2000
Merrill Lynch June 1997 - March 1998
Skills
Series 7, Series 24, Series 8, Series 65, Series 63, Series 3, FINRA, Mutual Funds, Securities, Financial Risk, Equities, Hedge Funds, AML, Alternative Investments, Financial Services
Education
University of Minnesota-Twin Cities
Zacks Investment Management 2014 - Present
Financial Industry Regulatory Authority 1994 - Present
Mastrapasqua Asset Management August 2007 - January 2014
Accessor Capital Management 2005 - 2007
Russell Investments 2001 - 2005
Eagle Asset Management March 1999 - November 2001
Pritchard,Hubble & Herr 1994 - 1999
Gruntal 1993 - 1994
Merrill Lynch 1989 - 1993
ATP Tour, Inc. 1985 - 1989
Skills
Asset Management, Institutional, Retail, FINRA, Alternative Investments, Asset Allocation, Series 7, Investments, Investment Advisory, Wealth Management, Mutual Funds, Financial Services, Financial Advisory, Investment Management, Portfolio Management, Retirement, Investment Strategies
Education
University of New Orleans 1980 — 1985
BS, Business Admin, Marketing
Wells Fargo December 2013 - Present
Wells Fargo July 2013 - December 2013
Wells Fargo June 2011 - July 2013
Thomson Reuters May 2010 - August 2010
Financial Industry Regulatory Authority May 2009 - August 2009
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2007 — 2011
Bachelor of Science (B.S.), Business Administration
IES Paris Business and International Affairs 2010 — 2010
Edmund Burke School 2003 — 2007
Financial Industry Regulatory Authority January 2012 - Present
Farmers Insurance July 2010 - December 2011
Education
University of Missouri-Columbia 2006 — 2009
Bachelor's Degree, Finance and Banking, Real Estate
Corrigan & Morris LLP November 2000 - Present
Financial Industry Regulatory Authority January 1999 - Present
Jones Day October 1996 - April 1998
US Securities and Exchange Commission October 1992 - October 1996
U.S. Department of Justice May 1995 - July 1996
Carter Ledyard & Milburn LLP June 1990 - October 1992
United States Senate 1979 - 1982
Skills
Securities Litigation, Enforcement, White Collar Criminal..., Internal Investigations, FINRA, White Collar, Federal Law, Commercial Litigation, Investigations, Complex Litigation, Securities Law, Litigation, Government..., Civil Litigation, FCPA, Arbitration, Securities, Due Diligence, Finance, Private Investigations, Intellectual Property, Securities Regulation, Mergers & Acquisitions, Legal Research, Legal Writing, Government, Fraud, Mediation, Corporate Governance, Hedge Funds, Courts, Corporate Law, Appeals, SEC
Education
Washington & Lee University School of Law 1987 — 1990
J.D., Law
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1982 — 1986
B.S., Business
Episcopal High School - Alexandria, VA 1978 — 1982
Press Ganey May 2015 - Present
Financial Industry Regulatory Authority August 2007 - January 2014
Deloitte & Touché, LLP June 2006 - June 2007
Children's Mercy Hospital January 2003 - August 2004
Center Senior High School December 2000 - July 2002
Physician's Reference Laboratory/St. Joseph Health Center June 1990 - December 2000
Skills
Administration, Customer Service, PowerPoint, Excel, Spreadsheets, Accounting, Executive Management, Scheduling, Word, Access, Event Planning, Microsoft Office, Fundraising, Administrative Support, Policy Analysis, Non-profits, Budgeting, Customer Relations, Research, Outlook, Supervisory Skills, Data Analysis, Problem Solving, Office Management, Interviewing, Database Administration, Documentation, Inventory Management, Compliance, PeopleSoft, Team Building, Teamwork, Billing, Strategic Planning, Process Improvement, Time Management, Microsoft Excel, System Administration, Nonprofits, Training, Analysis, Project Management
Education
Webster University 2009 — 2011
Masters, Management & Leadership
University of Missouri-Kansas City 2002 — 2005
Bachelors, Liberal Arts
TD Ameritrade January 2013 - Present
TD Ameritrade November 2010 - January 2013
NYSE Arca, Inc. November 2006 - May 2010
Financial Industry Regulatory Authority January 2006 - October 2006
NASD June 2004 - January 2006
G-Bar LLC November 2001 - May 2004
Botta Capital Management, LLC August 2000 - October 2001
Timber Hill, LLC January 1997 - August 2000
Chicago Mercantile Exchange January 1995 - February 1997
Amerititle, Inc October 1991 - January 1995
Skills
Securities, Options, Trading, Trade Compliance, Market Regulation, Series 7, Series 66, Series 3, Series 4, Series 24, Series 55, Regulatory Examinations, Series 34, AML, Securities Regulation
Education
University of Notre Dame 1986 — 1988
Bachelor of Arts, Psychology
Homewood-Flossmoor High School
Financial Industry Regulatory Authority July 2004 - Present
Rent-A-Center August 2002 - July 2004
US Army August 1991 - August 2001
Skills
Super Agent, Master Mason, Certified Fraud Examiner, The Closer, FINRA, Securities Regulation, Securities, Due Diligence, Financial Reporting, AML, Broker-Dealer, Financial Statements, Internal Controls, Finance, Operational Risk..., CAMS, Mutual Funds, Strategic Financial..., Financial Risk, Anti Money Laundering, Financial Regulation, USA PATRIOT Act
Education
University of North Texas 1995 — 2002
BS/MS, Accounting
Accenture September 2012 - Present
University of Virginia August 2008 - May 2012
Accenture May 2011 - August 2011
Financial Industry Regulatory Authority May 2009 - August 2009
U.S. House of Representatives June 2008 - August 2008
Skills
Research, Management Consulting, Business Analysis, Economics, Business Intelligence, Statistics, PowerPoint, Word, Public Speaking, Microsoft Office, Market Research, Business Strategy, Critical Thinking, Process Improvement, Financial Analysis, Wireless, Business Transformation, Cost Reduction..., Strategy, Microsoft Word, Data Analysis, Microsoft Excel, Leadership
Education
University of Virginia 2008 — 2012
BA, Economics, History
Oxford University 2010 — 2010
BA, Economics, History
Trinity Christian School 1996 — 2008
Trinity Christian School
Sullivan & Cromwell LLP September 2013 - Present
US Securities and Exchange Commission January 2013 - April 2013
Edward Jones September 2012 - November 2012
Financial Industry Regulatory Authority May 2012 - July 2012
Superior Court of the District of Columbia May 2011 - August 2011
University of North Texas January 2004 - July 2010
Education
Washington University in St. Louis School of Law 2010 — 2013
Doctor of Law (JD), Law
University of North Texas
Bachelor of Arts (BA), History
Barclays Investment Bank July 2014 - Present
Wharton Lippincott Library September 2010 - June 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Institute for the Advancement of the American Legal System (IAALS) May 2012 - August 2012
Education
University of Pennsylvania 2010 — 2014
Bachelor's Degree, Philosophy, Politics, and Economics
George Washington High School 2007 — 2010
Liberty Group LLC June 2012 - Present
Stone & Youngberg October 2005 - June 2012
Financial Industry Regulatory Authority June 2003 - October 2005
First Union June 1999 - May 2003
Skills
Investment Advisory, Retail Brokerage, Brokerage, Fixed Income, Anti-Money Laundering, Alternative Investments, Equity Trading, Structured Products, Hedge Funds, Asset Management, Asset Backed Securities, Litigation Support, AML, Asset Managment, Wealth Management, FINRA, Brokers, Due Diligence, Investments, Trading, Series 24, Equities, Capital Markets, Corporate Finance, Financial Services, Options, Series 63, Mutual Funds, Mergers & Acquisitions, Bonds, Series 7, Investment Banking, Securities, Finance, Securities Regulation, USA PATRIOT Act, Investment Management, Risk Management, OFAC, Operational Risk, Anti Money Laundering
Education
University of North Carolina at Chapel Hill 1995 — 1999
Bachelor’s Degree, Economics and Psychology
Financial Industry Regulatory Authority August 2013 - Present
Deloitte Touche Tohmatsu February 2011 - July 2013
Fannie Mae April 2004 - February 2011
Fannie Mae January 2002 - April 2004
Merkle Direct Marketing June 2000 - June 2001
Wachovia Bank January 1998 - June 2000
Central Fidelity National Bank February 1996 - January 1998
Capital One December 1994 - February 1996
American Express November 1992 - June 1993
RAND Corporation June 1987 - June 1991
Skills
Financial Risk, Credit, Analytics, Loans, Internal Controls, Project Management, Leadership, Management, Credit Cards, Databases, Risk Management, Financial Modeling
Education
University of Southern California 1989 — 1992
Master of Business Administration (M.B.A.)
University of Southern California 1985 — 1987
Master of Science (M.S.), Electrical Engineering
University of Michigan 1981 — 1985
Bachelor of Science, Electrical Engineering
Financial Industry Regulatory Authority October 2011 - Present
Ernst & Young June 2001 - April 2009
Skills
Auditing, Internal Controls, SEC filings, Financial Accounting, CPA, External Audit, US GAAP, Mutual Funds, Fund Accounting, FINRA
Education
University of Massachusetts, Amherst 1997 — 2001
BS, Accounting
ZenithOptimedia Group I The ROI Agency September 2015 - Present
ZenithOptimedia Group I The ROI Agency October 2013 - August 2015
ZenithOptimedia June 2013 - September 2013
Financial Industry Regulatory Authority June 2012 - August 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Skills
PowerPoint, Social Media Marketing, Facebook, Social Media, Advertising, Microsoft Office, Blogging, Marketing, Research, Marketing Communications, Microsoft Excel, Public Relations, Market Research, Excel, LinkedIn Advertising, Twitter Marketing, Media Planning, Media Buying, Digital Media, Social Media Advertising, Demand Generation, Digital Strategy, Digital Media Services, Google Adwords, Lead Generation, B2B Marketing Strategy, Target Development
Education
University of Notre Dame 2009 — 2013
Bachelor's, Marketing
Georgetown Visitation Preparatory School 2005 — 2009
Greenberg Traurig, LLP November 2013 - Present
Greenberg Traurig, LLP November 2012 - October 2013
Financial Industry Regulatory Authority January 2012 - April 2012
Stone Harbor Investment Partners June 2011 - August 2011
Florida Legal Services, Inc. June 2010 - August 2010
NYC Department of Education August 2006 - June 2009
Skills
Legal Research, Legal Writing, Westlaw, Lexis, Research, Editing
Education
University of Miami School of Law 2009 — 2012
Juris Doctor, Law
Queens College of the City University of New York 2006 — 2008
Master of Science - summa cum laude, Education
Queens College of the City University of New York 2002 — 2005
Bachelor of Arts - cum laude, Political Science
U.S. Securities and Exchange Commission May 2014 - August 2014
Market America, Inc. January 2014 - May 2014
Financial Industry Regulatory Authority June 2013 - July 2013
Lincoln Financial Distributors December 2007 - August 2012
Kathleen Price Bryan YMCA December 2007 - August 2012
The Clubs of Greensboro July 2006 - December 2007
Ultimate Workout Center for Women May 2005 - March 2007
UNC-Greensboro Student Recreation Center December 2003 - January 2007
Education
Elon University School of Law 2012 — 2015
Juris Doctor
University of North Carolina at Greensboro 2002 — 2006
Bachelor of Fine Arts (B.F.A.)
Wells Fargo November 2013 - June 2014
Professional Arbitration Support Solutions July 2012 - October 2013
Blum & Silver, LLP. June 2003 - June 2012
Life Extension April 2007 - August 2010
Financial Industry Regulatory Authority December 2000 - June 2003
Skills
Forensic Accounting, Legal Writing, Legal Compliance, Regulatory Filings, Legal Research, Litigation, Arbitration, Pleadings, Alternative Dispute..., Patents, Analysis, Motions, Employee Benefits, Claim, Interviews, Litigation Support, Civil Litigation, Securities Regulation
Education
Wharton School, University of Pennsylvania 1978 — 1982
Bachelor of Science (B.S.), Finance, General
BNY Mellon June 2015 - Present
Axiom November 2014 - June 2015
Axiom March 2014 - November 2014
Mizuho Trust & Banking Co. (USA) January 2012 - December 2013
Lyxor Asset Management November 2010 - December 2011
Cardozo Tax Clinic September 2009 - December 2009
Financial Industry Regulatory Authority May 2009 - September 2009
Jeffrey J. Haas, Professor of Law June 2009 - August 2009
Edward A. Zelinsky, Morris & Annie Trachman Professor of Law September 2008 - December 2008
Supreme Court of New York - Kings County May 2008 - September 2008
Skills
Bank Secrecy Act, Litigation, Hedge Funds, Securities Law, Compliance
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2007 — 2010
Juris Doctor (J.D.)
University of Miami 2003 — 2007
Bachelor of Arts, Political Science
Financial Industry Regulatory Authority October 2011 - Present
University of Michigan September 2010 - May 2011
University of Michigan June 2010 - August 2010
Skills
MapReduce, Amazon Web Services..., Unix, Cloud Computing, R, Data Analysis, Apache HBase, SQL, Performance Testing, GraphX, Apache Spark, Hive, Apache Giraph, BSP, Eclipse
Education
University of Michigan 2006 — 2011
Ph.D., Mathematics
University of Virginia 2002 — 2006
B.A., Mathematics
Catholic High School
High school diploma
Financial Industry Regulatory Authority October 2012 - March 2013
Fidelity Investments September 2008 - March 2012
Lehman Brothers May 2008 - August 2008
Larsen & Toubro Infotech Ltd. July 2004 - July 2007
Skills
Capital Markets, Equities Technology, Functional Testing, Business Analysis, International Capital..., Requirements Gathering, User Acceptance Testing, Third Party Vendor..., New Product..., Change Management, Change Control, Help Desk Support, Investment Management, Data Analytics, Data Mining, Financial Services, Business Impact Analysis, Systems Analysis, Use Case Analysis, Process Flow Charts, Sequence Diagrams, Agile Project Management, Microsoft Excel, Quality Assurance, Client Relations Skills, Client Presentation, Leading Meetings
Education
Worcester Polytechnic Institute 2007 — 2009
Master of Science (M.S.), Information Technology
University of Mumbai 2000 — 2004
Bachelor of Engineering (B.E.), Electronics
PricewaterhouseCoopers September 2015 - Present
JPMorgan Chase 2013 - Present
Financial Industry Regulatory Authority September 2013 - November 2013
Financial Industry Regulatory Authority August 2012 - December 2012
Hylton Adamson Watson & Moore PLLC June 2012 - August 2012
Office of Administrative Hearings June 2011 - August 2011
Skills
Legal Research, Westlaw, Legal Writing, Mediation, Litigation, Civil Litigation, Research, Policy Analysis, Public Speaking, Public Policy, Legislative Research, Spanish, PowerPoint, Microsoft Office, Nonprofits, Microsoft Excel, Microsoft Word, Lexis, Editing, Data Analysis
Education
Washington University in St. Louis School of Law 2010 — 2013
Juris Doctoris, Legal Banking, Securities
University of North Carolina at Chapel Hill 2004 — 2008
Bachelor of Arts (B.A.), Psychology
Financial Industry Regulatory Authority July 2013 - Present
Ambac May 2012 - May 2013
Polytechnic Institute of New York University February 2012 - May 2012
Polytechnic Institute of New York University September 2011 - January 2012
Skills
Java, C++, HTML, CSS, OnBase, SharePoint, UML, Microsoft SQL Server, JavaScript, SQL, Cognos, C, SSIS, Operating Systems, Data Warehousing, XML, PL/SQL, Unix, Eclipse, Databases, Testing, JSP, Amazon Web Services..., Hadoop
Education
Polytechnic Institute of New York University 2011 — 2013
MS, Computer Science
University of Mumbai 2007 — 2011
Bachelor's degree, Computer Science, First Class
V.G.Vaze Kelkar College of Arts, Science and Commerce 2005 — 2007
H.S.C., Science
Vidya Niketan 1993 — 2005
S.S.C
Morgan Stanley June 2013 - Present
Finance Department, Wharton School of Business October 2011 - May 2013
Morgan Stanley June 2012 - August 2012
Financial Industry Regulatory Authority May 2011 - August 2011
Management Department, Wharton School of Business October 2009 - 2011
Lumetra June 2008 - July 2008
Skills
Financial Analysis, Financial Modeling, Bloomberg, Valuation, Corporate Finance, Strategic Planning, Capital Markets, Portfolio Management, Risk Management, Credit Risk, Microsoft Excel, Analysis, Financial Services
Education
University of Pennsylvania - The Wharton School 2009 — 2013
B.S. in Economics, Finance, Risk Management, and Operations and Information Management
The College Preparatory School 2005 — 2009
Deutsche Bank January 2015 - Present
Deutsche Bank October 2011 - January 2015
Financial Industry Regulatory Authority January 2008 - October 2011
Skills
Securities, Fixed Income, Equities, FINRA, FOCUS Report, Regulatory Capital, CMBS, ABS, Derivatives, Securitization, Structured Finance
Education
University of Scranton 2003 — 2007
Bachelor of Science, Management, Finance
Wake County Public School System August 2014 - Present
Chapel Hill High School September 2013 - April 2014
The Saylor Foundation June 2012 - October 2013
Financial Industry Regulatory Authority January 2012 - May 2012
Petvacx Animal Hospital August 2011 - January 2012
Carolina Tiger Rescue June 2011 - August 2011
Skills
Customer Service, French, Microsoft Word, Italian, Microsoft Excel, PowerPoint, Communication, Organization, E-Learning, Research, Recruiting, Staff Development, Editing, Fundraising, Social Networking, Higher Education, Public Speaking, Nonprofits, Teaching
Education
University of North Carolina at Chapel Hill 2013 — 2014
Master's Degree, Masters in the Art of Teaching - Secondary Social Studies
University of North Carolina at Chapel Hill 2007 — 2011
BA International Studies, Minors: Biology, French
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2011 — 2011
Business Essentials Certificate Program
Lorenzo de’ Medici Italian International Institute 2010 — 2010
European Union, Globalization, Italian, Italian Renaissance Art
Financial Industry Regulatory Authority April 2008 - Present
Upromise Investments, Inc. June 2006 - April 2008
Skills
Auditing, Compliance, Accounting, Excel, Financial Analysis, Financial Reporting, Investments
Education
University of Massachusetts, Amherst 2001 — 2006
BS, Pure/Applied Mathematics
Financial Industry Regulatory Authority October 2012 - Present
Prince George's County Government January 2009 - December 2012
Skills
Experienced in..., • Systems..., • Asset Database..., Databases, Management, SQL, Microsoft SQL Server, Requirements Analysis, Business Analysis, SDLC, PL/SQL, Java, XML, Oracle, Software Project..., Systems Analysis, JavaScript, Software Development, ITIL, C#, Agile Methodologies, Business Intelligence, ASP.NET, Cyber Operations, Enterprise Architecture, Visio
Education
University of Maryland University College
GXS August 2014 - Present
Honeywell April 2014 - August 2014
Financial Industry Regulatory Authority November 2008 - April 2014
Financial Industry Regulatory Authority January 2007 - November 2008
Skills
Securities, Forecasting, Budgeting, Fixed Income, Series 7, Financial Analysis, Bonds, Equities, FINRA, Bloomberg Terminal, Finance, Financial Modeling, Credit, Bloomberg, Capital Markets, Series 63, Budgets, Microsoft Excel, Hyperion Enterprise, Hyperion Planning, Essbase, Corporate Finance, Financial Markets, Mutual Funds, Equity Research, Analysis, Risk Management, Financial Services, Trading
Education
Northeastern University 2012 — 2014
Master's Degree, Finance, General, 3.6
University of Maryland University College 2006 — 2008
Finance, Business Law & Public Policy
PwC August 2013 - Present
Ernst & Young July 2012 - August 2013
Financial Industry Regulatory Authority May 2011 - August 2011
Skills
Financial Modeling, Business Analysis, Risk Management, Program Management, Strategic Planning, Strategy, Business Development, Process Improvement, Management Consulting, Analysis, Analytics, Anti Money Laundering, Requirements Gathering
Education
The Wharton School, University of Pennsylvania 2010 — 2012
Master of Science (MS), Finance and Systems Engineering
University of Pennsylvania 2010 — 2012
Master of Science (MS), Finance and Systems Engineering
Delhi Public School 1995 — 2006
High School
Financial Industry Regulatory Authority April 2014 - Present
LegalSource February 2013 - December 2013
Marks, O'Neill, O'Brien, Doherty & Kelly, P.C. July 2012 - January 2013
US EPA - Office of Enforcement and Compliance Assurance, Office of Civil Enforcement January 2012 - April 2012
Missouri Attorney General June 2010 - August 2010
Marks, O'Neill, O'Brien and Courtney December 2006 - July 2008
Skills
Legal Writing, Legal Research, Legal Issues, French, Litigation, Commercial Litigation, Corporate Law, International Law, Microsoft Office, Westlaw, Civil Litigation, Depositions, Administrative Law
Education
Washington University in St. Louis School of Law 2008 — 2011
Juris Doctor, Litigation; Corporate Law; International Law.
University of Scranton 2002 — 2006
B.Sc., Major: Criminal Justice; Concentration: Law, Political Science & Sociology
Bowie High School 1998 — 2002
High school diploma
U.S. Bancorp Fund Services December 2013 - Present
U.S. Bancorp August 2012 - July 2013
Financial Industry Regulatory Authority May 2012 - August 2012
U.S. Bancorp Asset Management August 2005 - August 2010
Minnesota Department of Revenue June 2004 - August 2005
Skills
Securities, Mutual Funds, Investments, FINRA, Equities, Corporate Law, Securities Regulation, Loans, Auditing, Licensing, Accounting, Corporate Governance, Mergers & Acquisitions, Financial Services, Due Diligence, Private Equity, Asset Management, Legal Research, Finance
Education
University of Minnesota Law School 2010 — 2013
Juris Doctor, Business Law concentration
University of Minnesota - Carlson School of Management 2011 — 2011
University of Wisconsin-River Falls 2000 — 2004
B.S., Economics and Business Administration-Finance, GPA: 4.0 (major), 3.94 (cumulative); top 2%
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority December 2010 - February 2014
Financial Industry Regulatory Authority February 2005 - December 2010
Financial Industry Regulatory Authority June 2003 - February 2005
Keystone Street Systems, LLC October 2001 - June 2003
Global Trade Technologies April 2000 - October 2001
Cambridge Associates January 1998 - October 1999
Merrill Lynch August 1996 - December 1996
Education
University of Pennsylvania - The Wharton School
Certified Regulatory Compliance Professional (CRCP) program (in progress)
Marymount University 1993 — 1996
Bachelor of Business Administration (B.B.A.), Finance, General
Financial Industry Regulatory Authority May 2014 - Present
Sonora Energy Group Hermosillo June 2011 - June 2014
Cooper Gay & Co Ltd June 2013 - June 2013
U.S. House of Representatives July 2012 - August 2012
Skills
Operational Risk..., Strategic Financial..., Financial Analysis, Social Media, Fundraising, Microsoft Excel, Microsoft Word, @Risk
Education
University of South Carolina - The Moore School of Business 2010 — 2014
Bachelor's degree, Double Major: Finance & Insurance and Risk Management Minor: Hotel, Restaurant, & Tourism Management, 3.4
Gonzaga College High School 2006 — 2010
Fidelity National Title January 2015 - Present
Financial Industry Regulatory Authority January 2014 - May 2014
Michael B. Serling, P.C. May 2013 - August 2013
United States District Court-Eastern District of Michigan May 2012 - August 2012
Skills
Legal Issues, Legal Research, Motions, Trials
Education
Washington University in St. Louis School of Law 2011 — 2014
Doctor of Law (JD)
University of Michigan 2007 — 2011
Bachelor of Arts (BA), Economics
Citi Private Bank February 2015 - Present
J.P. Morgan January 2012 - February 2015
J.P. Morgan July 2009 - December 2011
Financial Industry Regulatory Authority June 2008 - August 2008
Education
University of Michigan
University of Michigan
University of Michigan
University of Michigan
University of Michigan - Stephen M. Ross School of Business
Bachelor of Business Administration (BBA), Finance
PwC July 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Financial Industry Regulatory Authority May 2013 - July 2013
Miami-Dade State Attorney's Office August 2012 - November 2012
JPMorgan Chase June 2007 - May 2011
Skills
Legal Writing, Legal Research, Microsoft Office, Research, Westlaw, Lexis, LexisNexis, Microsoft Excel, Public Speaking
Education
University of Miami School of Law 2011 — 2014
Juris Doctor (J.D.)
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority May 2012 - Present
Sabadell United March 2007 - May 2012
Terrabank, N.A. April 2006 - March 2007
Skills
Credit Analysis, Risk Management, Financial Analysis, Banking, Loans, FINOP
Education
University of Miami - School of Business 2009 — 2010
MBA, MBA for Working Professionals
University of Miami - School of Business 2002 — 2006
BBA, Finance
Nordic Consulting Partners, Inc February 2013 - Present
KPMG January 2012 - February 2013
Epic February 2010 - January 2012
Shenzhen Education Bureau August 2009 - January 2010
Gage International LLC May 2008 - August 2008
Financial Industry Regulatory Authority May 2007 - August 2007
Jatun Sacha: Biological Reserve May 2006 - June 2006
Georgetown University Hospital May 2004 - August 2004
Education
University of North Carolina at Chapel Hill 2014 — 2016
Master of Business Administration (M.B.A.)
Vanderbilt University 2005 — 2009
Bachelors of Science
St. Albans 1999 — 2005
High School
Wydler Brothers Realty Team August 2015 - Present
University of Richmond October 2014 - May 2015
University of Richmond January 2014 - May 2015
University of Richmond August 2012 - May 2015
Financial Industry Regulatory Authority May 2014 - August 2014
U.S. Department of State May 2013 - July 2013
Maggie Hassan Gubernatorial Campaign May 2012 - August 2012
Twin Lanterns Dairy Bar April 2008 - August 2012
Skills
Public Relations, Editing, Public Speaking, iMovie, Social Media, Publicity, PowerPoint, AP Style, Facebook, Tumblr, Press Releases, Spanish, Brazilian Portuguese, Blogging, Final Cut Pro, Social Networking, Creative Writing, Newsletters, Microsoft Office, Microsoft Word, Microsoft Excel, Research, Teamwork, Event Planning, InDesign, Fundraising, Writing, Leadership, Time Management, Data Analysis, Customer Service
Education
University of Richmond 2011 — 2015
Bachelor of Arts (B.A.), International Studies, Rhetoric & Communication Studies, 3.54/4
Phillips Exeter Academy 2007 — 2011
High School Diploma
Financial Industry Regulatory Authority December 2007 - Present
Skills
Securities Regulation, Capital Markets
Education
Regis University 2003 — 2005
MBA, Master of Business Administration
University of Missouri-Columbia, College of Business 1983 — 1986
BSBA, Business Administration
Symplicity Corporation June 2014 - Present
Financial Industry Regulatory Authority July 2013 - Present
American Institutes for Research June 2012 - June 2013
U.S. News & World Report April 2011 - June 2012
UMUC June 2010 - April 2011
University of Maryland University College April 2007 - April 2010
University of Maryland University College July 2005 - April 2007
Skills
User Experience, Web Analytics, User Interface Design, Web Content Management, Graphic Design, Flash, Creative Direction, Web Design, Information Architecture, CMS, Multimedia, Front-end, Interaction Design, Web Applications, Web Development
Education
University of Phoenix
Financial Industry Regulatory Authority March 2012 - Present
Financial Industry Regulatory Authority October 2008 - March 2012
Education
University of Miami School of Law 2004 — 2007
University of Virginia 1997 — 2001
BA, Foreign Affairs, history
Financial Industry Regulatory Authority September 2012 - Present
Strategic Legal Solutions August 2010 - August 2012
McGuireWoods LLP February 2008 - July 2009
Milbank, Tweed, Hadley & McCloy LLP September 2001 - January 2008
Skills
Securities Litigation, Securities Regulation, Financial Regulation, Internal Investigations, Securities, Litigation, Securities Fraud, Broker-Dealer, FINRA
Education
University of Pennsylvania Law School 1998 — 2001
J.D., Law
University of Pennsylvania 1992 — 1996
B.A., International Relations; Diplomatic History
Financial Industry Regulatory Authority January 2012 - Present
FDA March 2011 - December 2011
Hillcrest Labs May 2006 - March 2011
Verticalnet July 2003 - November 2005
B2Emarkets May 2000 - June 2003
Education
University of Maryland University College
BSEE
Financial Industry Regulatory Authority January 2005 - Present
Legg Mason Wood Walker 1999 - 2005
Wellington Management 1998 - 1999
First Data Investors Services Group 1996 - 1998
State Street Bank 1994 - 1996
Skills
Securities, FINRA, Investments, Bloomberg, Mutual Funds, Equities, Asset Managment, Derivatives, Securities Regulation, Asset Management, Fixed Income, Hedge Funds, Options, Financial Services, Financial Analysis, Alternative Investments, Risk Management, Management, Portfolio Management, Finance, Capital Markets, Due Diligence, Financial Modeling
Education
University of Notre Dame 1990 — 1994
BBA, Finance
Aviation Capital Group (ACG) September 2015 - Present
PIMCO July 2014 - June 2015
Financial Industry Regulatory Authority January 2010 - May 2014
KWC Engineers October 2000 - September 2008
Skills
Legal Writing, Securities, Financial Regulation, Document Drafting, Legal Compliance, Fraud, Litigation Support, Securities Regulation, Microsoft Office
Education
University of Maryland University College 2012 — 2013
Humanities/Humanistic Studies
Columbia Union College 1982 — 1983
Clinical Psychology
FINRA May 2008 - Present
Financial Industry Regulatory Authority May 2008 - Present
Sun Life/Independent Financial Marketing Group, Inc April 2005 - May 2008
IFMG 2005 - 2008
Independent Financial 2005 - 2008
Quick &" Reilly August 2000 - April 2005
Banc of America Investment Services, Inc August 2000 - April 2005
Banc of America Investments 2004 - 2005
Joseph Stevens & Company, Inc January 2000 - June 2000
Skills
Securities, Investments, Asset Managment, Due Diligence, Sales, Microsoft Office, Finance, Customer Service, Workshop Facilitation, Marketing, Quality Control, Policy Analysis, Advertising, Bookkeeping, Assets Recovery, Small Office, Lotus Smartsuite, Mutual Funds, Credit, Insurance
Education
University of Miami 1989 — 1990
M.B.A, Finance
University of Miami - School of Business 1989 — 1990
MBA, Finance
Management University of Miami 1979 — 1983
Master of Business Administration (MBA), Finance, General
University of Miami - School of Business 1979 — 1983
BBA, Management
Financial Industry Regulatory Authority March 2013 - Present
Fannie Mae July 2010 - February 2013
EDS 2006 - July 2010
NASD 2004 - July 2010
HP 2008 - 2010
FINRA 2005 - 2010
EDS, an HP company 2006 - 2008
Marlabs Inc 2004 - 2006
CACI 2004 - 2004
Tata Consultancy Services 1999 - 2004
Skills
Data Warehousing, Requirements Analysis, SDLC, Software Project..., SQL, Solution Architecture, Oracle, Business Analysis, Agile Methodologies, PL/SQL
Education
VJTI 1995 — 1999
Bachelor of Engineering (B.E.), Mechanical Engineering
University of Mumbai 1991 — 1995
Bachelor of Engineering (B.E.), Mechanical E
National Executive Service Corps of South Florida March 2008 - Present
Financial Industry Regulatory Authority 2008 - Present
Marlboro Music School and Festival 2001 - Present
Golandsky Institute May 2010 - October 2012
American Friends of the Berlin Staatsoper, Inc. 1994 - December 2009
Great River Arts Institute 1995 - 2009
LaBranche & Co Inc. March 2000 - June 2005
Daimler North America Corp. August 1984 - December 1999
Paramount Group, Inc. January 1980 - December 1982
Ford Credit's European office April 1971 - December 1979
Skills
Corporate Finance, Treasury Management, Treasury, Debt, Mergers, Investments, Cash Management, Risk Management, Financial Analysis, Investor Relations, IPO, Banking, Securities, Portfolio Management, Trading, Finance, Corporate Governance, Private Equity, Financial Services, Due Diligence, Mergers & Acquisitions, Capital Markets, Derivatives, Internal Audit, Investment Banking, Financial Modeling, Equities, Hedge Funds, Restructuring, Financial Risk, Credit, Asset Management, Structured Finance, Fixed Income, Financial Markets, Management, Valuation, Bloomberg, Executive Management, Venture Capital, Alternative Investments, Corporate Development, AML, Emerging Markets, Financial Regulation, Series 7, Enterprise Risk..., FINRA, Mutual Funds, Options
Education
University of Michigan - Stephen M. Ross School of Business 1963 — 1967
MBA, Finance
Wayne State University 1958 — 1963
BS, Accounting, Economics
Financial Industry Regulatory Authority February 2011 - Present
New York Mercantile Exchange February 2008 - July 2010
New York Mercantile Exchange/Chicago Mercantile Exchange February 2008 - July 2010
Chicago Mercantile Exchange 2008 - July 2010
Something Digital LLC June 2005 - February 2008
Transnet Corporation May 2004 - May 2005
Kjkaminski Consulting Services July 2002 - April 2004
Cardiovascular Research Foundation July 2000 - May 2002
American Society of Mechanical Engineers January 2000 - July 2000
CompuCom January 1999 - August 1999
Education
Correspondence
University of Santo Tomas
Bachelor of Science, Electronics and Communications Engineering
Goldman Sachs August 2014 - Present
Goldman Sachs August 2012 - July 2014
Deloitte Financial Advisory Services September 2010 - August 2012
Financial Industry Regulatory Authority May 2009 - August 2009
Skills
CPA, Corporate Finance, Capital Markets, Big 4, Investment Banking, Forensic Accounting, Financial Modeling, Finance, Fixed Income, Business Valuation, Valuation
Education
University of Notre Dame 2006 — 2010
B.B.A., Accounting
University of Notre Dame - Mendoza College of Business 2006 — 2010
Bachelor of Business Administration (B.B.A.), Accounting
Financial Industry Regulatory Authority January 2014 - Present
Financial Industry Regulatory Authority May 2013 - January 2014
Financial Industry Regulatory Authority June 2010 - May 2013
Economic Analysis Group May 2008 - June 2010
Skills
Compliance, Investigations, AML, Analysis, Securities, Research, Equities, PowerPoint, Excel, FINRA, Capital Markets, Word, Legal Research, Accounting, Securities Regulation, Due Diligence, Outlook, Documentation, Investments, SEC reporting, Problem Solving, Microsoft Office, Microsoft Excel, Fraud, Finance, Management
Education
University of Pittsburgh
Bachelor of Arts, Economics
Financial Industry Regulatory Authority 2002 - Present
Education
University of Pennsylvania 1990 — 1994
Bachelor of Arts (B.A.)
Financial Industry Regulatory Authority February 2012 - Present
NGEN,LLC June 2009 - January 2012
Best Buy November 2006 - June 2009
Skills
VPN, Windows Server, VMware, XP, Microsoft Exchange, Active Directory, Windows 7, Networking, System Deployment, Group Policy, Data Center, Disaster Recovery, Security, Citrix, Servers, Cisco Technologies, Troubleshooting, DHCP, Technical Support, Network Security, OS X, Microsoft Certified..., Virtualization, Switches, Network Administration
Education
University of Maryland University College 2011 — 2013
Bachelor of Science (BS), Computer Science and Computer Networks and Security, 3.7
Financial Industry Regulatory Authority August 2012 - Present
Raymond James Financial Services, Inc. Member FINRA/SIPC 2009 - August 2012
T. Rowe Price June 2004 - July 2009
SITEL/General Motors June 1999 - June 2004
Skills
Series 24, Series 7, Series 63, Asset Allocation, Financial Services, Investment Advisory, Investments, Mutual Funds, Retirement Planning, Securities
Education
University of South Florida 1999 — 2003
B.A., English and America Literature
Financial Industry Regulatory Authority November 2005 - Present
Financial Industry Regulatory Authority November 2005 - Present
Financial Industry Regulatory Authority April 2004 - November 2005
Financial Industry Regulatory Authority December 2002 - April 2004
Financial Industry Regulatory Authority September 2000 - December 2002
NCSI January 1999 - September 2000
NCSI May 1996 - April 2000
Education
University of Maryland University College 1993 — 1994
Bachelors, Business Management
JPMorgan Chase September 2012 - Present
Financial Industry Regulatory Authority June 2010 - August 2012
NYSE August 2007 - June 2010
Citigroup 2006 - 2007
Morgan Stanley 2004 - 2006
Charles Schwab 1997 - 2004
Skills
Risk Management, Securities, Equities, Capital Markets, Financial Services, Options, Series 7, Series 24, Regulatory Compliance, Surveillance, Investigation, Retail Brokerage, Auditing, Operational Risk
Education
University of Scranton 1991 — 1995
B.A., International Language-Business
Indiana University Maurer School of Law August 2013 - Present
Financial Industry Regulatory Authority 2013 - Present
Georgetown University Law Center September 2010 - June 2012
U.S. Securities and Exchange Commission August 1999 - July 2011
Barnes and Thornburg January 1997 - June 1999
Altheimer and Gray January 1986 - January 1997
Chapman and Cutler January 1978 - January 1986
Skills
Securities, Securities Regulation, Capital Markets, Municipal Bonds, Expert Witness, Fixed Income, FINRA, Financial Regulation, Valuation, Public Finance, Municipalities, Regulations, Bonds, Government, Policy, Mergers & Acquisitions, Private Equity, Structured Finance, Legislation, Legal Compliance
Education
University of Michigan Law School 1974 — 1977
J.D., Law
Wayne State University 1970 — 1974
B.A., History
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
University of New Hampshire August 2014 - January 2015
Financial Industry Regulatory Authority May 2014 - August 2014
University of New Hampshire August 2013 - May 2014
IBM February 2013 - May 2013
Symbol Technologies August 2011 - August 2011
Symbol Technologies August 2010 - August 2010
Skills
Java, C, C++ Language, Matlab, Python, MySQL, PHP, JOGL, HTML, C++, Computer Science, Perl, Software Development, Programming, SQL, Linux, Microsoft Office, Team Leadership, JavaScript
Education
University of New Hampshire 2013 — 2015
Master's degree, Computer Science
University Visvesvaraya Collegeof Engineering 2009 — 2013
Bachelor's degree, Computer Engineering, 83.2%
Financial Industry Regulatory Authority March 2013 - Present
Neal, Gerber & Eisenberg LLP September 2007 - March 2013
Law Center for Economic & Social Justice May 2005 - August 2005
Princeton Review February 2003 - September 2004
Second to None, Inc July 2003 - August 2004
University of Michigan Institute for Social Research September 2002 - August 2004
Skills
Litigation, Securities
Education
University of Michigan Law School 2004 — 2007
J.D.
University of Michigan 2000 — 2003
B.A., Psychology, Sociology
Self Regulatory Organization September 1988 - Present
Financial Industry Regulatory Authority September 1988 - Present
Education
University of Maryland University College
Bachelor of Science (BS), Business Administration and Management, General
Financial Industry Regulatory Authority June 2013 - Present
Goldman Sachs March 2010 - June 2013
UBS August 2005 - February 2010
Education
University of North Carolina School of Law
Doctor of Law (JD)
U.S. Government 2002 - Present
Financial Industry Regulatory Authority 1996 - 2000
BayBank 1994 - 1996
Shawmut Bank, NA June 1990 - June 1994
Skills
Government, Policy Analysis, Public Policy, Political Science, Politics, Data Analysis, Policy, International Relations, DoD, Security Clearance, Stata, Research, Fraud, Analysis, Securities, Microsoft Office, Series 7, Series 24, Series 63
Education
University of Rhode Island 1979 — 1983
BA, Political Science and Government
Wells Fargo July 2014 - Present
McGladrey January 2014 - July 2014
KPMG US August 2012 - December 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Skills
Insurance, SOX Compliancy, Internal Controls, Manufacturing, Auditing, US GAAP, SEC filings, External Audit, Financial Reporting, Accounting, Big 4, Sarbanes-Oxley Act, Assurance
Education
University of Northern Iowa 2005 — 2012
Bachelor of Arts (B.A.), Accounting