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
Pace University Lubin School of Business December 2013 - Present
Financial Industry Regulatory Authority April 2014 - Present
Moody's Corporation December 2013 - Present
Financial Accounting Standards Board December 2010 - June 2013
Financial Accounting Standards Board July 2003 - October 2010
Leslie F. Seidman Consulting 1999 - 2003
J.P. Morgan 1987 - 1996
EY 1984 - 1987
Education
New York University - Leonard N. Stern School of Business 1984 — 1985
MS, Accounting
Colgate University 1980 — 1984
BA, English
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Financial Industry Regulatory Authority May 2013 - April 2014
Turing's Craft June 2012 - June 2013
Skills
Python, Linux, SQL, Shell Scripting, Java, Bash, PostgreSQL, Greenplum, Oracle, Netezza, HTML, jQuery, C++, C, Spring, Perl, Maven, Eclipse, SpringMVC, Spring Framework, JSP, CSS, JavaScript, Solaris
Education
City University of New York-Brooklyn College 2015 — 2018
Master's Degree, M.A. Computer Science
City University of New York-Brooklyn College 2009 — 2014
Bachelor of Computer Science, Bachelor of Business Administration (BBA), Computer Science; Business Fiance
James Madison HS 2005 — 2009
Advanced Regents Diploma
McNurlin & Associates, CPA February 2012 - Present
Financial Industry Regulatory Authority September 1985 - October 2007
Skills
Tax, Auditing, Financial Reporting, Tax Preparation, Internal Controls, Financial Statements, General Ledger, GAAP, Financial Accounting, Account Reconciliation, Financial Analysis, CPA, SEC filings
Education
Colorado State University
Forestry
Metropolitan State College of Denver
Bachelor of Science (BS), Accounting
Financial Industry Regulatory Authority June 1999 - Present
O'Melveny & Myers LLP January 1995 - June 1999
Education
Cornell University
Bachelor of Science (B.S.), Industrial and Labor Relations
Saint John's University
Doctor of Law (J.D.)
MiniPi Films May 2006 - Present
Financial Industry Regulatory Authority September 2005 - Present
Skills
Cinematography, Film, Short Films, Film Production, Video Production, Directing, Documentaries, Music Videos, Feature Films, Lighting, Concerts, Microsoft Office, Social Media, Customer Service, Marketing, Photoshop, Digital Video, Television
Education
Digital Film Academy 2006 — 2007
Film/Cinema/Video Studies
CUNY New York City College of Technology 2001 — 2005
Liberal Arts and Sciences/Liberal Studies
Proskauer Rose LLP August 2015 - Present
Financial Industry Regulatory Authority January 2014 - April 2014
Federal Public Defender’s Office September 2013 - November 2013
United States District Court, Judge Fleissig's Chambers June 2012 - August 2012
Washington University School of Law June 2012 - August 2012
Kim&Chang October 2008 - January 2009
Skills
Legal Research, Legal Writing, Litigation, Corporate Law
Education
New York University School of Law 2014 — 2015
Taxation, Master of Laws (LL.M.)
Washington University in St. Louis School of Law 2011 — 2014
JD
Duke University 2005 — 2009
Bachelor of Arts (B.A.)
Pivotal Software, Inc. September 2015 - Present
Financial Industry Regulatory Authority March 2014 - September 2015
Microsoft Innovation Center September 2010 - June 2011
Skills
Hadoop, Python, Perl Script, Amazon Web Services..., Databases, Java, Software Development, Hive, MapReduce, R, Apache Spark, Distributed Systems, HBase, Core Java, SDLC, Ruby, Shell Scripting, Requirements Analysis, Apache Pig, Cloud Computing, Google App Engine, Scala, MongoDB, Git, Subversion, Agile Methodologies, Redis, SQL, Big Data, Big Data Analytics, Perl, Mathematics, Quantitative Analytics
Education
General Assembly 2014 — 2014
Data Science
New York University 2011 — 2013
Master's degree, Computer Science
Dalian University of Technology 2007 — 2011
Bachelor's Degree, Software Engineering
U.S. Commodity Futures Trading Commission June 2014 - Present
U.S. Securities and Exchange Commission May 2013 - June 2014
North American Securities Administrators Association (NASAA) January 2011 - May 2013
U.S. Securities and Exchange Commission September 2010 - December 2010
U.S. Commodity Futures Trading Commission January 2010 - September 2010
NYSE Euronext October 2008 - May 2010
Financial Industry Regulatory Authority May 2009 - August 2009
Skills
Securities Regulation, Securities, Litigation, FINRA, Legal Research, Legal Writing, Dodd-Frank, Blue Sky, Securities Law, Commodity Markets, Enforcement, SEC regulations, Equities, Amicus, Compliance, CFTC, Coaching, Legislative Policy, Options, Licensing, NYSE, Futures, Corporate Law, SEC, Corporate Governance
Education
Georgetown University Law Center 2010 — 2012
LL.M., Securities and Financial Regulation
Chicago-Kent College of Law, Illinois Institute of Technology 2007 — 2010
J.D., Law
Oakland University 2003 — 2006
B.A., Political Science
Wheeling Jesuit University 2002 — 2003
Troy Athens High School 1998 — 2002
Independent April 2015 - Present
Financial Industry Regulatory Authority January 2000 - April 2015
American Arbitration Association August 1978 - January 2000
Empire Mutual Insurance Co. September 1976 - August 1978
Skills
FINRA, Securities Regulation, Securities, Capital Markets, Financial Services, Arbitration, Due Diligence, Alternative Dispute..., Investments, Series 7, Private Equity, Investment Advisory, Corporate Law, Mergers & Acquisitions, Asset Management, SEC, Survey Design, Training, Litigation, Mediation, Legal Research
Education
University of Phoenix 1999 — 2003
Bachelor of Science, Business Management, 4.0 GPA
Wharton Business School
Certificate, Leadership
Cornell University 2011 — 2012
Certificate, Leadership, Management
Securities Industry and Financial Markets Association (SIFMA) March 2015 - Present
Financial Industry Regulatory Authority March 2014 - March 2015
Financial Industry Regulatory Authority December 2011 - March 2014
USDA May 2010 - September 2010
Emory University School of Law May 2009 - May 2010
Skills
Securities Regulation, Legal Writing, Analysis, Research, Data Analysis, Microsoft Excel, Microsoft Office, Courts, Civil Litigation, Westlaw, Lexis, Legal Research, Litigation
Education
Georgetown University Law Center 2014 — 2016
Master of Laws (LL.M.), Securities & Financial Regulation
Emory University School of Law 2008 — 2011
Juris Doctor (J.D.)
The George Washington University 2004 — 2008
Bachelor's Degree
Kurt Salmon July 2015 - Present
Kurt Salmon July 2013 - June 2015
Financial Industry Regulatory Authority May 2012 - August 2012
Goizueta Business School September 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Skills
Leadership, Microsoft Excel, Training, PowerPoint, Microsoft Office, Sales, Recruiting, Project Planning, Teamwork, Operations Management, Access, Identity Management, Incident Management, Outlook, Data Analysis, Strategy, Research
Education
Emory University 2009 — 2013
Bachelor of Business Administration (BBA), Finance and Analytic Consulting
U.S. Securities and Exchange Commission June 2014 - Present
U.S. Securities and Exchange Commission June 2011 - May 2014
U.S. Securities and Exchange Commission August 2008 - June 2011
Financial Industry Regulatory Authority November 2006 - August 2008
U.S. Securities and Exchange Commission January 2006 - May 2006
XO Communications January 2000 - August 2003
Verizon Communications January 1991 - January 2000
Skills
Securities Regulation, Enforcement, Investigation, Insider Trading, Market Surveillance, Securities Fraud, Securities Litigation, Securities Act of 1933, Securities Exchange Act..., Investment Advisers Act, Investment Company Act, Dodd-Frank Act, FINRA, AML, Rule 144, Securities, Bonds, Derivatives, Equities, Options, Swaps
Education
The Ohio State University Moritz College of Law 2003 — 2006
Doctor of Law (J.D.), Law
New York University - Leonard N. Stern School of Business 1995 — 1999
Master of Business Administration (M.B.A.), Finance and Accounting
Fairfield University 1986 — 1990
Bachelor of Arts (B.A.), Economics and American Studies
Xaverian Brothers High School 1983 — 1986
Financial Industry Regulatory Authority October 2012 - May 2014
Davis Polk & Wardwell LLP April 2006 - September 2012
Orrick, Herrington & Sutcliffe LLP September 2004 - March 2006
Education
University of Virginia School of Law 2001 — 2004
Doctor of Law (J.D.)
Eastern Michigan University 1998 — 2001
Bachelor of Science (B.S.)
Plymouth-Canton High School 1993 — 1997
Microsoft July 2012 - Present
Microsoft April 2010 - July 2012
Microsoft 2006 - April 2010
Financial Industry Regulatory Authority November 2003 - March 2006
Financial Industry Regulatory Authority February 2001 - November 2003
Financial Industry Regulatory Authority February 2000 - February 2001
Financial Industry Regulatory Authority April 1999 - February 2000
Financial Industry Regulatory Authority October 1998 - April 1999
Financial Industry Regulatory Authority July 1997 - October 1998
CompuClub Training Centers 1996 - 1997
Skills
Enterprise Architecture, Strategy, Enterprise Software, M&A experience, Data Center, Governance, Cloud Computing, Consulting, IT Strategy, Business Development, Microsoft Technologies, Integration, Financial Services, Leadership, Solution Architecture, Project Management, IT Transformation, Program Management, Enterprise Architecture..., Business Intelligence, IT Infrastructure..., Business Strategy, IT Business Strategy, IT Portfolio, IT Portfolio Management, Sustainability, IT Enabled Business...
Education
The George Washington University 1992 — 1995
Bachelor of Arts, Journalism, Political Science
Community College of Philadelphia 1990 — 1992
Associates, General Studies
Creative and Performing Arts High School 1980 — 1984
Financial Industry Regulatory Authority May 2014 - Present
Morrison & Foerster LLP January 2014 - May 2014
Morrison & Foerster LLP December 2007 - December 2013
Standard Chartered Bank January 2013 - June 2013
Richards Kibbe & Orbe March 2006 - November 2007
Davis Polk & Wardwell September 2002 - February 2006
Honorable Jed Rakoff September 2003 - September 2004
Skills
Securities Regulation, Securities Litigation, FINRA, Civil Litigation, Litigation, Commercial Litigation, Trials, Appeals, Criminal Law, Legal Writing, Legal Research, Board of Directors
Education
Columbia University School of Law 1999 — 2002
Doctor of Law (J.D.)
Princeton University 1995 — 1999
A.B., magna cum laude, Woodrow Wilson School of Public and International Affairs
Irvine Valley College August 2010 - Present
Financial Industry Regulatory Authority 1997 - Present
Journal of Law, Business & Ethics 2014 - Present
City of Irvine October 2014 - Present
Glennwood Foundation / Lighthouse January 2015 - Present
Hope Center for the Arts March 2015 - Present
UCI Extension July 2004 - December 2010
University of Roehampton 2006 - 2008
Legg Mason August 1985 - July 1991
Education
Seton Hall University School of Law 1991 — 1994
Doctor of Law (JD)
King's College London, U. of London 2004 — 2005
Master of Laws (LLM)
Chapman University, School of Law 2003 — 2004
Master of Laws (LLM)
Queen Mary, U. of London
University of Richmond 1982 — 1985
Bachelor of Arts (BA)
Financial Industry Regulatory Authority October 2010 - Present
Ausdal Financial Partners April 2008 - October 2010
Deutsche Bank September 2002 - May 2004
Skills
Securities, Investment Advisory, Series 7, Equities, FINRA, Fixed Income, Series 63, Mutual Funds
Education
Columbia College Chicago 1998 — 2002
Bachelor of Business Administration (BBA), Performing Arts Management, 3.8
JPMorgan Chase & Co. February 2015 - Present
JPMorgan Chase July 2014 - January 2015
JPMorgan Chase February 2014 - July 2014
JPMorgan Chase July 2013 - February 2014
U.S. House of Representatives June 2013 - July 2013
JPMorgan Chase June 2012 - August 2012
Securities and Futures Commission November 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Skills
Equities, Financial Modeling, Financial Analysis, Forecasting, Microsoft Excel, Analysis, Strategic Financial..., Finance, Fixed Income, Management, Budgets, Strategy, Investments, Securities
Education
Syracuse University - Martin J. Whitman School of Management 2009 — 2013
B.S., Finance and Supply Chain Management
City University of Hong Kong 2011 — 2011
Study Abroad
Financial Industry Regulatory Authority March 2014 - August 2015
Carnegie Mellon University January 2010 - September 2013
Skills
Matlab, Statistics, Mathematical Modeling, Machine Learning, Environmental..., Python, SQL, Nanotechnology, Electrochemistry, Microbiology, C++, Economics, Wastewater Treatment, Qualitative Research, Water Treatment, Corporate Finance, Membrane Separations, Energy Storage, SAS programming, Hadoop, HBase, Hive, Apache Pig, Unix
Education
Carnegie Mellon University 2009 — 2013
Doctor of Philosophy (Ph.D.), Civil and Environmental Engineering
Southeast University 2005 — 2009
Bachelor's degree, Water supply and sewerage engineering
Financial Industry Regulatory Authority December 2013 - Present
EisnerAmper LLP January 2012 - November 2013
PwC June 2011 - August 2011
NYC Office of the Mayor February 2009 - June 2009
Skills
Forensic Accounting, GAAP, Internal Controls, Sarbanes-Oxley Act, Internal Audit, Auditing, Microsoft Excel, Corporate Tax, Securities Regulation, Broker-Dealer Compliance, Financial Statement..., Fraud Detection, Due Diligence, Risk Assessment, Litigation Support, Valuation, QuickBooks, Compliance, SAS70, SSAE 16, Financial Reporting, Financial Accounting
Education
City University of New York-John Jay College of Criminal Justice
Advanced Certificate in Forensic Accounting
City University of New York-John Jay College of Criminal Justice
Master in Public Administration - Inspector General, Fiscal Policy Analysis and Oversight
Liddle & Robinson, L.L.P. September 2013 - Present
Georgetown University Law Center August 2010 - May 2013
Financial Industry Regulatory Authority September 2012 - December 2012
Bullard Falla Ezcurra June 2011 - August 2011
Vinson and Elkins January 2010 - June 2010
Myfab.com June 2009 - January 2010
Trombly Ltd January 2009 - June 2009
Charity Brands Marketing August 2007 - May 2008
Skills
Legal Writing, Litigation, Legal Research, Market Research, Corporate Law, Securities
Education
Georgetown University Law Center 2010 — 2013
Doctor of Law (J.D.)
Duke University 2003 — 2007
BA, English
The Hotchkiss School 1999 — 2003
Breck
Greenberg Traurig, LLP March 2014 - Present
Council on Foreign Relations June 2012 - Present
Financial Industry Regulatory Authority February 2013 - March 2014
US Trade Representative February 2012 - January 2013
The White House February 2010 - January 2012
Quinn Emanuel October 2006 - September 2009
Judge Robert L. Carter (SDNY) September 2005 - September 2006
Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates October 2003 - September 2005
Skills
Government, Lobbying, International Relations, International Trade, Politics, Public Policy, Securities Regulation, International Law, Corporate Governance, Courts, Mediation, Legislation
Education
Columbia Law School 2000 — 2003
Doctor of Law (JD)
State University of New York at Albany 1997 — 2000
Bachelor of Arts (BA), Political Science and Government
Financial Industry Regulatory Authority March 2012 - June 2014
K12 2014 - 2014
NASDAQ March 2009 - February 2012
NASDAQ May 2008 - March 2009
The Nasdaq Stock Market June 2006 - May 2008
The Nasdaq Stock Market May 2002 - June 2006
TV Guide Magazine 2000 - 2002
Skills
Strategic Planning, Product Launch, Program Management, Product Requirements..., Product Forecasting, Product Requirements, Product Management, Cross-functional Team..., Strategy, Trading Systems, CRM, Management, Business Strategy, Leadership, Analysis, Marketing, Sales, Project Portfolio..., Contract Negotiation, Competitive Analysis, Executive Management, Vendor Management, SaaS, Business Analysis, Analytics, Financial Services
Education
Fairfield University 1990 — 1994
Bachelor of Science, Marketing
Academy of Notre Dame de Namur 1983 — 1990
Parks Executive Coaching, LLC January 2011 - Present
Financial Industry Regulatory Authority 2003 - April 2014
JPMorgan Chase 2000 - 2002
Citi 1996 - 2000
Lehman Brothers 1992 - 1996
Resolution Trust Corp 1991 - 1991
Hunter College 1989 - 1990
Merrill Lynch 1977 - 1988
Skills
Leadership Development, Executive Coaching, Organizational..., Mergers, Coaching, MBTI Certified, FIRO-B, DISC, EQi, Hogan Assessments, Mergers & Acquisitions, Human Resources, Program Management, Management, MBTI, Leadership, Performance Management, Employee Engagement, Change Management, Training, Talent Management, Organizational..., Policy, Succession Planning, Employee Benefits, Workshop Facilitation, Organizational Design, Nonprofits, Management Development
Education
Drew University
BA, History / Poltical Science
New York University
MA, Education
Parkland Management Company October 2012 - Present
Parkland Management Company October 2010 - October 2012
Financial Industry Regulatory Authority May 2001 - September 2002
Skills
Marketing, Leadership, Marketing Communications, Marketing Strategy, Team Building, Sales, Public Relations, Coaching, Account Management, Microsoft Word
Education
Cleveland State University 1999 — 2001
Master of Business Administration (MBA)
Ohio University 1992 — 1996
Bachelor of Science (B.S.), Interpersonal Communications
Georgetown University Law Center 2009 - Present
Atlantic Council 2012 - Present
Financial Industry Regulatory Authority 2013 - Present
Milken Institute 2011 - Present
Vanderbilt University 2006 - 2009
Cravath, Swaine & Moore LLP 2004 - 2006
Education
Columbia Law School
J.D.
The University of Chicago
Doctor of Philosophy (Ph.D.)
Washington University in St. Louis
Bachelor's degree, summa cum laude
Andersen Tax July 2013 - Present
Andersen Tax June 2012 - August 2012
Financial Industry Regulatory Authority August 2009 - July 2011
Morgan Street Document Systems September 2008 - April 2009
LeadAmerica June 2008 - August 2008
Broadcasting Board of Governors May 2007 - December 2007
George Washington University March 2007 - May 2007
AFL-CIO Federal Credit Union November 2006 - March 2007
Johns Hopkins University, Center for Talented Youth June 2006 - August 2006
The White House January 2006 - May 2006
Skills
International Relations, Analysis, Corporate Finance, Microsoft Office, Government, Microsoft Excel, Strategy, Policy Analysis, PowerPoint, Research, Fundraising, Public Speaking, Event Planning, Social Media, Non-profits, Project Management, CCH ProSystem fx, GoFileRoom, Customer Service, High Net Worth..., Corporate Tax, Partnership Taxation, Private Foundations, Financial Analysis
Education
University of Notre Dame 2011 — 2013
MBA, Corporate Finance; Corporate Accounting
The George Washington University 2005 — 2009
BA, International Affairs
Dublin City University 2008 — 2008
International Studies
BNY Mellon February 2014 - Present
Educational Testing Service (ETS) November 2013 - February 2014
UnitedHealth Group August 2012 - May 2013
Financial Industry Regulatory Authority March 2012 - July 2012
Bank of America/Merrill Lynch August 2011 - February 2012
CSI Consulting September 2010 - December 2010
Bank of New York Mellon March 2010 - August 2010
The Bank of New York Mellon 2008 - 2010
The Bank of New York 2006 - 2008
The Bank of New York 2005 - 2006
Skills
Mainframe, SPUFI, IBM Utilities, DFSORT, SDSF, VSAM, Endevor, Fileaid, IMS DB/DC, Syncsort, DB2, JCL, TSO, SDLC, Test Cases, Bug Tracking, End-to-end Testing, White Box Testing, Integration Testing, Defect Tracking, Batch Processing, CICS, ClearQuest, Quality Center, Software Quality..., Quality Assurance, COBOL, Testing, Embedded SQL, Regression Testing, User Acceptance Testing, System Integration..., Unit Testing, Oracle SQL, Toad, Endeavor, Business Requirements, Integration, Manual Testing, SQL, Databases, Oracle, XML, Access, QTP, System Testing, Waterfall, Requirements Gathering, Test Management, Test Strategy
Education
City University of New York-Brooklyn College 1974 — 1979
B.S, Computer and Information Science
Consultant/Expert Witness in Securities-related arbitration August 2002 - Present
Financial Industry Regulatory Authority 1995 - Present
Strategic Systems, Inc. January 1969 - June 1971
Skills
Case Analysis, Arbitration, Litigation, Securities Litigation, Testimony, Securities, Compliance, Expert Witness, FINRA, Litigation Support, Investments, Fraud, Mediation, Alternative Dispute..., Dispute Resolution, Corporate Governance, Civil Litigation, Internal Investigations, Bankruptcy, Corporate Law, Courts, Commercial Litigation, Due Diligence, Dispute, Trials, Legal Writing, Appeals, Trade Secrets, Legal Research
Education
Columbia University 1966 — 1968
Master of Business Administration (M.B.A.), Economics, Accounting
Columbia University Graduate School of Business 1966 — 1968
M.B.A., Accounting and Finance
WeddingWire December 2014 - Present
Self-Employed October 2013 - November 2014
NASDAQ OMX March 2012 - September 2013
NASDAQ OMX February 2005 - March 2012
NASDAQ OMX July 1999 - February 2005
Financial Industry Regulatory Authority January 1998 - July 1999
Financial Industry Regulatory Authority January 1996 - January 1998
Financial Industry Regulatory Authority December 1992 - January 1996
Skills
Investor Relations, Corporate Finance, Financial Reporting, Capital Markets, Analysis, Forecasting, IPO, Mergers & Acquisitions, Budgets, Finance, Strategy, Financial Markets, Mergers, Strategic Partnerships, Derivatives, CMA, Investments, Start-ups, Managerial Finance, Executive Management, Private Equity, Budgeting, Business Strategy, Strategic Financial..., Business Development, Financial Modeling, Cost Accounting, Accounting, Financial Analysis
Education
University of Pittsburgh - Joseph M. Katz Graduate School of Business
Master of Business Administration (MBA), Accounting and Finance
Duquesne University
Bachelor of Science in Business Administration, Finance
Financial Industry Regulatory Authority March 2014 - Present
Beijing Emergency Relief Foundation February 2011 - Present
LPL Financial/Fortigent March 2013 - February 2014
Thomson Reuters June 2012 - August 2012
China Minsheng Banking Corp.ltd June 2011 - September 2011
University of Maryland, College Park August 2010 - May 2011
Industrial and Commercial Bank of China December 2010 - January 2011
Bank of China May 2010 - September 2010
Skills
Financial Analysis, Financial Modeling, Data Analysis, Bloomberg, Valuation, Microsoft Excel, Mandarin, Portfolio Management, Corporate Finance, Analysis, Risk Management, Economics, Microsoft Office, Finance, Investments, Leadership
Education
The Johns Hopkins University - Carey Business School 2011 — 2013
Master, Finance
University of Maryland College Park 2008 — 2011
BS, Agricultural Economics and Resource Management
China Agricultural University 2006 — 2008
BS, Business Administration
Emory University Goizueta Business School May 2015 - Present
Federal Reserve Bank of Richmond September 2013 - April 2015
University of Virginia August 2012 - August 2013
Healthy Appalachia Institute January 2013 - May 2013
Financial Industry Regulatory Authority May 2012 - August 2012
MATHCOUNTS Foundation January 2012 - May 2012
Missouri College Advising Corps July 2009 - June 2011
State Street June 2008 - August 2008
Oliver Walker Wilson LLC August 2007 - May 2008
Skills
Strategic Planning, Training, Grant Writing, Research, Data Analysis, Strategy, Higher Education, Team Leadership, Financial Analysis, Investment Banking, Stata
Education
Emory University - Goizueta Business School 2015 — 2016
Master of Business Administration (M.B.A.)
University of Virginia 2011 — 2013
MPP - Batten Fellow
University of Missouri-Columbia 2005 — 2009
Bachelor of Business Administration (BBA)
Ft. Lauderdale General Employees Pension Board January 2014 - Present
The Second Half Team November 2012 - Present
Financial Industry Regulatory Authority January 1996 - December 2014
Wells Fargo Advisors, LLC November 2009 - November 2012
Ft. Lauderdale Police & Fire Pension Board May 2005 - March 2012
UBS Financial Services, Inc. December 1986 - October 2009
Oakland Park General Employees Pension Board January 1995 - December 1995
Barnett Bank August 1985 - September 1986
Skills
Investments, Retirement, Finance, Strategic Financial..., Public Speaking, Retirement Planning, Management, Government, Pensions, Mutual Funds, Policy, Risk Management, Asset Management, Wealth Management, Financial Services, Financial Analysis, Securities, Strategic Planning, Portfolio Management, Financial Advisory, Asset Allocation, Investment Advisory, Investment Strategies, Financial Planning, Alternative Investments, Estate Planning, Insurance, 401k, Hedge Funds, Employee Benefits, Investment Management, Equities, Series 7, Asset Managment, Series 63, Financial Planners, Fixed Annuities, Fixed Income, DROP, 457/Deferred Comp, Marketing, Customer Service, Pension Funds, Peace-of-mind
Education
Eckerd College 1981 — 1985
BA, Business
University of North Carolina at Chapel Hill 1982 — 1984
Business Administration and Management, General
Arch-Bishop Curley High School(now Miami Curley Notre Dame) 1977 — 1981
HIgh School Diploma
Miami Country Day School 1975 — 1978
Bolles School 1976 — 1977
8th Grade
GROUNDFLOOR Finance 2013 - Present
Motaavi, LLC September 2011 - 2013
SciQuest January 2012 - May 2012
The Financial Services Roundtable 2011 - 2011
US Securities and Exchange Commission 2010 - 2010
Financial Industry Regulatory Authority 2009 - 2009
TD 2006 - 2008
RBC 2004 - 2006
Skills
Financial Regulation, Securities Law, Trading Systems, Venture Capital, Private Equity, Capital Markets, Hedge Funds, Financial Modeling, Investments, Securities, Investment Banking, Emerging Markets, Equities, Valuation, Entrepreneurship, Due Diligence, Corporate Finance, Mergers, Start-ups, Mergers & Acquisitions, Corporate Development, Economics, Securities Regulation, Alternative Investments, Joint Ventures, Investor Relations, Private Placements, IPO, Angel Investing, Structured Finance, Financial Structuring, M&A experience, Executive Management, Business Valuation, Investment Strategies
Education
Duke University
University of Alberta
Financial Industry Regulatory Authority 2012 - Present
Skills
Financial Modeling, Financial Analysis, Corporate Finance, Valuation, Economics, Investments, Finance, Business Strategy, Private Equity, Management Consulting, Entrepreneurship, Market Research
Education
ESADE Business School 2010 — 2011
Master of Science in Finance
Cass Business School 2003 — 2006
BSc (HONS) Investment and Financial Risk Management
Community Board 2, Manhattan July 2008 - Present
Financial Industry Regulatory Authority 2007 - Present
Eighth Floor Equities 2001 - Present
Skills
Arbitration, Mediation, Valuation Analysis, Negotiation, Valuation, Public Speaking, Real Estate Transactions, Mergers & Acquisitions, Due Diligence
Education
Cornell University
BS, Labor Relations
NYU Stern School of Business
MBA, Management
Stuyvesant H.S.
State of Vermont August 2014 - Present
Financial Industry Regulatory Authority September 2011 - March 2014
New York State Unified Court System March 2011 - June 2011
Southern Vermont College January 2011 - May 2011
NYS Judicial Institute May 2007 - March 2011
NYS Unified Court System, Office of Alternative Dispute Resolution Programs February 1996 - May 2007
The Princeton Review December 2002 - May 2004
The City University of New York, John Jay College of Criminal Justice January 2000 - December 2000
Skills
Mediation
Education
Dickinson Law 1992 — 1995
J.D., Law
University at Albany, SUNY 1988 — 1992
B.A., English, Computer Science, Economics
Capital View Wealth Management May 2012 - Present
Financial Industry Regulatory Authority February 2013 - Present
Cambridge Investment Research 2008 - Present
The Conte Browne Group, LLC February 2005 - May 2012
Prudential Financial 2000 - 2005
United States Marine Corps November 1986 - August 1992
Education
Eastern University 1999 — 2001
Bachelors, Organizational Management
The American College 2011 — 2011
Masters, Financial Services
Penn State University 1993 — 1994
Business, Management, Marketing, and Related Support Services
Cumberland Valley High School 1982 — 1986
Health Management Inc. August 2012 - Present
Apex Health Management April 2012 - June 2012
Akin Gump Strauss Hauer & Feld LLP October 2011 - December 2011
Lerner Enterprises May 2011 - September 2011
Financial Industry Regulatory Authority October 2008 - October 2010
Skills
Payroll, Customer Service, Auditing, Microsoft Office, Invoicing, Accounts Receivable
Education
Hunter College 2006 — 2008
BA, Communications
Montgomery College 2005 — 2006
Liberal Arts
Eric Hovdesven, Esq. January 2008 - Present
Sadler & Hovdesven 1994 - 2008
Financial Industry Regulatory Authority 1986 - 1991
Skills
Arbitration, Litigation Support, Immigration Law, Legal Assistance, Litigation, Commercial Litigation, Civil Litigation, Legal Research, Legal Writing, Personal Injury, Appeals, Trial Practice
Education
Emory University School of Law 1991 — 1994
JD
Emory University - Goizueta Business School 1980 — 1984
Bachelor of Business Administration (BBA), Finance, General
Financial Industry Regulatory Authority January 2013 - Present
FINRA January 2011 - January 2013
FINRA January 2007 - January 2011
Maryland General Assembly January 2006 - August 2006
Kent County Parole and Probation September 2005 - August 2006
Skills
Employee Engagement, Employee Relations, Performance Management, Employee Benefits, Onboarding, Deferred Compensation, PeopleSoft, Succession Planning, College Recruiting, Applicant Tracking..., Talent Acquisition, Talent Management, Personnel Management, Organizational..., Training, Workforce Planning, New Hire Orientations, Interviews, Employee Training, Benefits Administration, Taleo, Recruiting, Leadership Development, Labor Relations, Job Descriptions, Internet Recruiting, HR Policies, Sourcing
Education
Drexel University - College of Business and Administration 2009 — 2011
MBA, Marketing
Washington College 2002 — 2006
B.A., Political Science and Economics
Morgan Stanley November 2013 - Present
Financial Industry Regulatory Authority June 2008 - October 2013
City University of New York October 2006 - June 2008
City University of New York November 2006 - February 2008
Ramesh M. Sheth & Associates, Chartered Accountants August 2003 - November 2004
Skills
Accounting, Compliance, Investments, Securities, Audit, Analysis, Auditing, FINRA, AML, Finance, Investment Banking, Due Diligence, SEC, Bloomberg, Tax, Fixed Income, Series 7, Trading, Securities Regulation, Financial Risk, Capital Markets, Bank Secrecy Act, Investment Advisory, Mutual Funds, Equities, Series 63, Hedge Funds, Financial Services, Financial Regulation, Asset Management, Derivatives, Series 24, Options, Risk Management, Financial Analysis, Alternative Investments, Equity Trading, Financial Markets, Electronic Trading, Valuation, OFAC, Financial Modeling, USA PATRIOT Act, Trading Systems, Portfolio Management, Broker-Dealer, Fraud, Strategic Financial..., Corporate Finance, Wealth Management
Education
Association of Certified Financial Crime Specialists
Certified Financial Crime Specialist
Association of Certified Anti-Money Laundering Specialists 2012 — 2012
Certified Anti-Money Laundering Specialist
Association of Certified Fraud Examiners 2010 — 2010
Certified Fraud Examiner (C.F.E.), Fraud Examinations
City University of New York-College of Staten Island 2005 — 2008
B.S., Finance, International Business
University of Mumbai, Bhavan's College, Andheri 2003 — 2004
B.Com, Business
University of Mumbai, Bhavan's College, Andheri 2001 — 2003
High School (Junior College), Business
Bhavan's A.H. Wadia High School, Andheri, Mumbai 1991 — 2001
S.S.C.
PwC September 2014 - Present
Deloitte May 2013 - August 2013
Financial Industry Regulatory Authority December 2011 - July 2012
Financial Industry Regulatory Authority August 2010 - December 2011
Financial Industry Regulatory Authority August 2009 - August 2010
T. Rowe Price March 2008 - August 2009
T. Rowe Price December 2007 - March 2008
T. Rowe Price September 2007 - December 2007
Skills
Management Consulting, Financial Modeling, Capital Markets, Securities Regulation, Financial Analysis, Operating Models, Outsourcing, Finance Transformation, FINRA, PowerPoint, Project Management, Investments, Securities, Mutual Funds, Asset Management, Trading, Excel, Microsoft Excel, Asset Allocation, Portfolio Management
Education
Cornell University - S.C. Johnson Graduate School of Management 2012 — 2014
Master of Business Administration (MBA)
State University of New York at Stony Brook 2003 — 2007
Bachelor of Science (B.S.), Double majored in Business Management & Economics
Financial Industry Regulatory Authority June 2010 - Present
NYSE Arca Equities, Inc. April 2004 - June 2010
National Association of Securities Dealers April 2003 - April 2004
RBC Dain Rauscher, Inc. February 1999 - April 2003
Skills
Capital Markets, Derivatives, Electronic Trading, Equities, FINRA, Hedge Funds, Options, Securities, Series 7, Trading Systems
Education
DePaul University 1999 — 2002
Master of Business Administration (MBA), Finance, General
Northern Illinois University 1993 — 1997
Bachelor of Science (BS), Finance, General
Citi July 2014 - Present
Citi January 2011 - July 2014
Citi July 2008 - January 2011
Financial Industry Regulatory Authority May 2007 - August 2007
Skills
Microsoft Excel, Microsoft Word, Access Database, Large-scale Data..., Categorical Data...
Education
Cornell University 2005 — 2008
Bachelor of Science (B.S.), Industrial and Labor Relations
Financial Industry Regulatory Authority May 2013 - Present
FINRA (formerly NASD) January 2006 - May 2013
Legg Mason May 2002 - December 2005
Legg Mason 2001 - 2002
Skills
Fixed Income, Capital Markets, Equities, FINRA, Investments, Securities, Trading, Mutual Funds, Portfolio Management, Series 7, Financial Services, Financial Modeling
Education
Drexel University 2007 — 2009
MBA, Marketing
Fairfield University 1996 — 2000
Georgetown Prep 1992 — 1996
BSS
AIG May 2014 - Present
AIG March 2012 - May 2014
McGivney & Kluger, PC June 2011 - January 2012
Darger & Errante, LLP - "Darger Errante Yavitz & Blau" December 2009 - June 2011
Cerussi & Spring, P.C. May 2007 - July 2009
office of Attorney General New York January 2006 - May 2007
Financial Industry Regulatory Authority January 2006 - December 2006
Cassels Brock & Blackwell LLP 2005 - 2005
Deutsche Bank January 2003 - December 2003
Skills
Litigation, Legal Research, Risk Management, Underwriting, Insurance, Employment Practices..., Directors & Officers..., Mediation, Property & Casualty..., Financial Services, Commercial Insurance, Appeals
Education
Columbia University in the City of New York 2012 — 2012
Fellowship, Environmental Law
Pace University School of Law 2004 — 2007
Juris Doctor, Environmental Law and International Law
University of New South Wales 2000 — 2003
Bachelor of Commerce, Economics, Finance and Actuarial Studies
North Sydney Girls High School 1993 — 1999
High School Certificate
Financial Services Institute April 2015 - Present
Financial Services Institute June 2013 - Present
Financial Industry Regulatory Authority April 2012 - May 2013
FINRA May 2010 - April 2012
MassMutual Financial Group May 2009 - April 2010
Thrivent Financial September 2004 - August 2008
Target 2000 - 2002
Skills
Securities, AML, FINRA, Securities Regulation, Series 7, Investments, Legal Research, Series 24, Investment Advisory..., Broker-Dealer Compliance, Broker-Dealer, Life Insurance, Investment Advisers Act, General Securities..., Securities Exchange Act..., Financial Services, Fraud Detection, Certified Fraud Examiner, Corporate Governance, Corporate Law, Anti Money Laundering
Education
William Mitchell College of Law 1999 — 2002
J.D., Law
Eckerd College 1995 — 1998
B.A., Political Science
Mahtomedi High School
TAS Consulting 2013 - Present
Financial Industry Regulatory Authority 2007 - 2013
NYSE Regulation Inc. August 2005 - July 2007
New York Stock Exchange, Inc. January 1990 - August 2005
Skills
Securities Regulation, Litigation, Legal Writing, Legal Research, Corporate Law, Securities Litigation, Corporate Governance, Financial Transaction..., Complex Investigations
Education
Columbia Law School 1982 — 1985
Juris Doctor, law
Mount Holyoke College 1978 — 1982
Bachelor of Arts (B.A.), Political Science and Government, cum laude
Georgetown University - Walsh School of Foreign Service 1981 — 1981
Exchange Program, International Relations and Affairs
UW Medicine December 2014 - Present
Microsoft Corporation November 2012 - September 2014
Kelly Services May 2007 - October 2012
Financial Industry Regulatory Authority July 2006 - May 2007
Securitas September 2005 - July 2006
Spherion December 2003 - September 2005
Skills
SharePoint, Management, Social Networking, Project Planning, Customer Service, Social Media, Outlook, PowerPoint, Microsoft Excel, Visio, Microsoft Word, Marketing, Event Planning, Time Management, Event Management
Education
Eastern Washington University 2000 — 2002
Walla Walla Community College 1997 — 1999
HFF October 2014 - Present
Capital Bank April 2012 - October 2014
Financial Industry Regulatory Authority January 2012 - March 2012
Combined Properties, Incorporated June 2010 - August 2010
Komlo Group June 2009 - August 2009
Skills
Loans, Financial Analysis, Microsoft Excel, Credit Analysis, Portfolio Management, Credit, Commercial Banking, Banking, Finance, Real Estate Economics, Real Estate, Commercial Lending, Budgets
Education
Fairfield University 2007 — 2011
Bachelor's Degree, Finance & Economics
Georgetown Preparatory School 2003 — 2007
UBS January 2009 - Present
Financial Industry Regulatory Authority 2008 - Present
US Army September 1991 - August 2009
Wachovia Securities, LLC January 2004 - January 2009
Morgan Stanley September 1998 - December 2003
Education
Columbia University - Fu Foundation School of Engineering and Applied Science
Certified Portfolio Manager
University of Pennsylvania - The Wharton School
Drexel University
The King's Christian School
Financial Industry Regulatory Authority June 2014 - Present
US Securities and Exchange Commission (The Leading Niche) March 2014 - June 2014
PwC (Randstad US) November 2013 - March 2014
US Securities and Exchange Commission September 2012 - May 2013
Skills
Auditing, Financial Risk, Internal Audit, AML, Risk Assessment, Accounting, Analysis, Research, Finance, Microsoft Excel, Securities Regulation, Databases, Due Diligence, OFAC, Fraud, Financial Analysis, SEC filings, Financial Reporting, Internal Controls, Securities, Risk Management, Investments, Data Analysis, Financial Services, Financial Statements, GAAP, Bloomberg, Anti Money Laundering, Fraud Detection, SEC
Education
City University of New York-Brooklyn College 2014 — 2016
Master of Science (M.S.), Business Economics/Global Finance
City University of New York-Hunter College 2011 — 2012
Bachelor of Science (B.S.), Accounting
Custom App Ventures LLC (CAV) March 2015 - Present
The Law Offices of Marc J. Lane, a Professional Corporation February 2015 - June 2015
Northern Trust Corporation January 2015 - June 2015
Commodity Futures Trading Commission August 2014 - December 2014
UBS Global Asset Management June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - May 2014
Chicago Kent College of Law August 2013 - December 2013
UBS Global Asset Management June 2013 - August 2013
The Rogers Law Group NFP July 2011 - August 2012
Sterling Engineering June 2010 - August 2010
Skills
Investment Strategies, Portfolio Management, Securities Regulation, Financial Regulation, Regulatory Compliance, Legal Research, Bankruptcy, Westlaw, Legal Writing, Lexis, Document Drafting, Due Diligence, Microsoft Excel, Detail Oriented, Market Regulation, Investments, ISDA Agreements, LexisNexis, Leadership
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2012 — 2015
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Indiana University Bloomington 2007 — 2011
Bachelor of Arts (B.A.), Economics/Political Science, 3.65 Cumulative GPA
PwC January 2015 - Present
Army National Guard January 2007 - Present
US Securities and Exchange Commission January 2014 - June 2014
Financial Industry Regulatory Authority August 2013 - December 2013
Internal Revenue Service (Office of Chief Counsel) June 2013 - August 2013
U.S. Department of Justice (Office of the U.S Trustee) January 2013 - May 2013
Philadelphia District Attorney's Office August 2011 - November 2012
Education
Rutgers University School of Law - Camden
J.D
Rutgers, The State University of New Jersey - Rutgers Business School
Master of Business Administration (M.B.A.)
Drexel University 2006 — 2010
Bachelor of Science (B.S.), Biology, General
BTG Pactual February 2015 - Present
Pacific Global Advisors LLC May 2014 - August 2014
Emory China Care, Half the Sky Foundation September 2009 - April 2013
Financial Industry Regulatory Authority September 2012 - December 2012
Goizueta Business School May 2012 - August 2012
ASCEND Emory September 2010 - May 2012
BNY Mellon May 2011 - August 2011
Aomei Advertising February 2009 - March 2009
Skills
Microsoft Office, Java, C++, Visual Basic, Matlab, LaTeX, Photoshop, Photography, Mandarin, English, German, PowerPoint, Research, Microsoft Excel
Education
Carnegie Mellon University - Tepper School of Business 2013 — 2014
Master of Science in Computational Finance, Financial Mathematics
Emory University - Goizueta Business School 2009 — 2013
Bachelor of Business Administration (BBA), Finance; Applied Mathematics
University of Wien 2010 — 2010
Summer Program, German; Music Theory
Unilever September 2015 - Present
Fuqua School of Business July 2013 - May 2015
The London School of Economics and Political Science (LSE) January 2015 - March 2015
Unilever May 2014 - August 2014
Global Business Solutions Company May 2009 - July 2013
MynORity Lifestyle October 2005 - April 2013
Global Business Solutions Company February 2008 - May 2009
Financial Industry Regulatory Authority May 2006 - August 2007
Acme Fresh Market May 2005 - August 2005
Skills
Microsoft Office, Great Plains Software, Building Brand Awareness, Marketing Strategy, Promotions, Brand Developement, Brand Management, Target Marketing, Event Planning, Mergers, Brand Implementation, Customer Segmentation..., Pricing Strategy, P&L Analysis, Bank Reconciliation, Mergers & Acquisitions, Accounting, Brand Development, Sales, Financial Analysis, Forecasting, Competitive Analysis, Sales Management, Strategic Planning, Marketing
Education
The London School of Economics and Political Science (LSE) 2015 — 2015
Master's Degree, International Management Exchange Programme (IMEX)
Duke Fuqua School of Business 2013 — 2015
Master of Business Administration (M.B.A.), Market Analysis and Strategy + Product Management
Temple University 2003 — 2008
Bachelor of Business Administration, Accounting
Gonzaga College High School 1999 — 2003
High School Diploma
Deep Dish Lacrosse January 2010 - December 2013
Madison Sports Partnerships December 2012 - June 2013
Financial Industry Regulatory Authority June 2012 - August 2012
Financial Industry Regulatory Authority June 2011 - August 2011
Skills
Microsoft Excel, Financial Analysis, Accounting, Microsoft Office, PowerPoint, Financial Reporting, Microsoft Word, QuickBooks, Financial Modeling, Account Reconciliation, Access, Financial Accounting, Auditing, Strategic Financial..., Tax Preparation, Customer Service, Tax, Income Tax, Data Analysis, Financial Statement...
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2012 — 2014
DePaul University 2008 — 2012
Bachelor of Science (B.S.), Accounting
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority July 2011 - June 2015
Financial Industry Regulatory Authority July 2010 - July 2011
Skills
Microsoft Office, Securities, Capital Markets, Investments, Valuation, FINRA, Mutual Funds, Finance, Financial Services, PowerPoint, Financial Analysis, Analysis, Data Analysis, Microsoft Excel
Education
University of Maryland - Robert H. Smith School of Business 2013 — 2016
Master of Business Administration (M.B.A.)
College of the Holy Cross 2006 — 2010
Bachelor of Arts (BA), Political Science
Watertown High
Fresh Prints June 2013 - Present
BNP Paribas June 2015 - September 2015
Financial Industry Regulatory Authority May 2014 - September 2014
Congressman John Barrow January 2014 - April 2014
Lee and Associates May 2010 - August 2013
Horace Mann Day Camp June 2012 - August 2012
Skills
PowerPoint, Microsoft Word, Microsoft Excel, Statistics, Sports, Real Estate, Leases, Market Research, French to English, English to French, Mathematics, Research, Economic Indicators, Corporate Finance, Sales, Teamwork
Education
Emory University 2012 — 2016
Bachelor's Degree, Business Administration and Management, General, 3.71
INSEEC 2014 — 2015
Bachelor's Degree, Business Administration and Management, General
Horace Mann High School 2008 — 2012
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Lowe's Companies, Inc. March 2014 - July 2014
ANN INC. August 2013 - April 2014
Financial Industry Regulatory Authority May 2012 - July 2013
American Portfolios Finanical Services September 2008 - May 2012
Costco Wholesale June 2006 - October 2008
Starbucks Coffee Company November 2002 - May 2006
Skills
Securities, Social Networking, Wealth Management, FINRA, Finance, AML, Financial Risk, Process Improvement, Salesforce.com, Financial Services, Trading, Sales, Series 63, Financial Regulation, Estate Planning, Licensing, Banking, Microsoft Office, Program Management, Microsoft Excel, Mutual Funds, Leadership, Risk Management, Investment Advisory, Series 7, Retirement Planning, Portfolio Management, Relationship Management, Customer Service, Investments, Financial Advisory, Anti Money Laundering
Education
Dowling College 2009 — 2010
MBA, Corporate Finance
Stony Brook University 2005 — 2008
BA, Linguistics
Marriott International October 2013 - Present
Financial Industry Regulatory Authority May 2012 - July 2013
Freddie Mac November 2009 - May 2012
Corporate Executive Board August 2008 - July 2009
The Washington Post June 2007 - August 2007
Martone Construction May 2006 - August 2006
Skills
Excel, PowerPoint, Word, Analysis, Cognos, Salesforce.com, Financial Analysis, Microsoft Office, Outlook, GoToMeeting, Bloomberg, Fixed Income, Business Intelligence
Education
Duquesne University 2004 — 2008
B.S.B.A., Finance/International Business
Financial Industry Regulatory Authority September 2013 - December 2013
Spears & Imes LLP May 2013 - August 2013
Spears & Imes LLP December 2011 - August 2012
Weil Gotshal and Manges June 2009 - July 2011
Education
Fordham University School of Law 2012 — 2015
Doctor of Law (JD)
Colgate University 2005 — 2009
BA, magna cum laude, History, Political Science
Horace Mann School 2001 — 2005
High School
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - May 2015
Financial Industry Regulatory Authority May 2013 - September 2014
Alston & Bird LLP January 2010 - March 2013
Alston & Bird LLP September 2005 - December 2009
Dechert LLP September 2002 - August 2005
Skills
Litigation, Securities Litigation, Government..., Employment Litigation, Internal Investigations, Alternative Dispute..., Commercial Litigation, Employment Law, Bankruptcy, Corporate Law, Government, Trial Practice, Courts, Class Actions, International Law, Securities Regulation, Appeals, Legal Writing, Legal Research
Education
Case Western Reserve University School of Law
J.D., Law
Duke University
Bachelor of Arts (B.A.)
Brookwood High School
Financial Industry Regulatory Authority April 2012 - Present
Goldman Sachs June 2009 - September 2011
Goldman Sachs April 2008 - September 2008
Skills
Finance, Investment Management, Equities, Trading, Financial Analysis, Financial Modeling, Wealth Management..., Bloomberg, Capital Markets, Hedge Funds
Education
Drexel University 2005 — 2009
BS, Finance
Virginia Journal of Law and Technology April 2015 - Present
Office of the Public Defender, Virginia May 2015 - July 2015
Legal Aid Justice Center January 2015 - January 2015
Alliance Defending Freedom September 2014 - October 2014
Weiner Brodsky Kider PC January 2013 - July 2014
Financial Industry Regulatory Authority September 2012 - December 2012
Self-Employed December 2011 - September 2012
Bertucci's September 2011 - July 2012
Verite September 2011 - December 2011
Jeff Wood September 2011 - September 2011
Skills
Research, PowerPoint, Microsoft Office, Microsoft Excel, Spanish, Market Research, Public Speaking, Analysis, Data Analysis, Social Media, Event Planning, Editing
Education
University of Virginia School of Law 2014 — 2017
Doctor of Law (JD)
Case Western Reserve University 2007 — 2011
Bachelor of Arts, Chemistry
Sharon High School 2003 — 2007
Chemistry
Financial Industry Regulatory Authority May 2012 - Present
Mechanics Investments and Insurance Services January 2006 - May 2012
Round Hill Securities August 2002 - July 2005
Round Hill Securities August 2002 - July 2005
Pacific Exchange October 2000 - July 2002
OMF International April 1996 - September 2000
Wise Surfboards July 1995 - March 1996
Pacific Stock Exchange March 1985 - July 1995
Education
San Francisco State University 1981 — 1985
BA, English
Diablo Valley College 1978 — 1979
Financial Industry Regulatory Authority September 2013 - Present
Financial Industry Regulatory Authority May 2013 - September 2013
Envestnet Asset Management March 2009 - July 2011
Envestnet Asset Management June 2007 - March 2009
Skills
Securities, Equities, Mutual Funds, Investments, Financial Services
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2011 — 2014
Juris Doctor
DePaul University 2001 — 2006
Bachelor of Science, Finance
Financial Industry Regulatory Authority September 2012 - Present
Financial Industry Regulatory Authority August 2010 - August 2012
Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P January 2010 - July 2010
Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P August 2003 - December 2009
Skills
Commercial Litigation, Litigation, Legal Writing, Legal Research, Corporate Law
Education
University of Miami School of Law 2000 — 2003
Emory University 1995 — 1999
Oppenheimer & Co. Inc. February 2014 - Present
SMBC Nikko Securities America December 2010 - April 2013
Leumi Investment Services Inc. May 2009 - May 2010
Bank Leumi May 2009 - May 2010
SGC INSTITUTIONAL March 2006 - February 2009
Financial Industry Regulatory Authority December 1999 - December 2003
Skills
Securities, Equity Research, Investment Banking, FINRA, AML
Education
City University of New York-John Jay College of Criminal Justice 1994 — 1997
Bachelor of Science in Criminal Justice
Wagner College
MBA, Finance
Financial Industry Regulatory Authority March 2014 - Present
USG November 2012 - March 2014
Morgan Stanley August 2011 - November 2012
U.S. Department of State January 2009 - August 2011
Johns Hopkins University Carey Business School 2007 - 2011
Emporia State University 2001 - 2004
Skills
Banking, Budgeting, Government, Finance, Risk Management, Derivatives, Financial Risk, Fixed Income, Credit, Capital Markets, Fundraising, Budgets, Financial Analysis, Leadership, Financial Modeling, Managerial Finance, Analysis, Financial Reporting, Internal Controls, Politics, Policy Analysis, Corporate Finance, Economics, Policy, Valuation, Data Analysis, Trading, Due Diligence, Strategy, Investments, Management Consulting
Education
The Johns Hopkins Carey Business School 2008 — 2011
Master of Business Administration
Emporia State University
Bachelor of Fine Arts, Public RelationsCognate area; Political Science
The Johns Hopkins University
Master of Arts, Government
The Johns Hopkins University - Carey Business School
FINRA June 2010 - Present
Financial Industry Regulatory Authority May 2004 - May 2010
NASD (now Finra) May 2004 - May 2010
Skills
FINRA, Securities, Finance, Training, Series 63, Equities, Series 7, Investments, Financial Services, AML, Hedge Funds, Fraud, Investment Advisory, Series 24, Risk Management, Mutual Funds, Training Delivery, Securities Regulation, Financial Risk
Education
State University of New York Institute of Technology at Utica/Rome 2012 — 2014
Master of Science (MS), Accountancy
The George Washington University - School of Business 1991 — 1993
MBA, Marketing
Drake University 1980 — 1984
Bachelor of Science (B.S.), Accounting
Children's Home + Aid September 2014 - Present
After School Matters January 2013 - August 2014
Financial Industry Regulatory Authority June 2011 - July 2011
CARANA Corporation July 2007 - August 2010
Daston Corporation February 2005 - April 2007
Tessada & Associates June 2003 - February 2005
Skills
Employee Relations, Performance Management, Recruiting, Human Resources, Employee Benefits, Policy, Training, HR Policies, Conflict Resolution, Non-profits, Labor Relations, Leadership, Mediation, Problem Solving, Management, Policy Analysis, International..., Nonprofits, Succession Planning, Onboarding, Strategy, Strategic Planning
Education
Columbia University in the City of New York 2010 — 2012
Masters, Conflict Resolution
University of Kansas 1998 — 2003
Bachelor's degree, Spanish, International Relations
Dominican University
Master of Business Administration (MBA)
Financial Industry Regulatory Authority June 2010 - Present
End of the World Production, LLC. June 2005 - Present
Brooklyn College January 2000 - Present
NYSE Euronext June 2005 - June 2010
Securities Industry Automation Corporation 1999 - 2000
Skills
Java, Perl, SQL, Databases, Unix, Linux, Programming, Database Design, Machine Learning, Big Data, Data Mining, C++, Data Analysis, SDLC, Software Development, Microsoft SQL Server, XML, Access, Unix Shell Scripting, JavaScript, Oracle, Requirements Analysis, Web Services, Agile Methodologies, HTML, Analysis, Hadoop, Enterprise Architecture, Networking, Trading Systems, Data Warehousing, Shell Scripting, Research, C/C++, Greenplum, Visio, CSS, Visual Basic, Statistics, Netezza, Calculus, Signal Processing, C#, System Administration, Scala, Data Science
Education
City University of New York Graduate Center 2003 — 2017
ABD, Computer Science
Brooklyn College 1995 — 2003
Master of Arts (M.A.), Computer and Information Science
Morgan Stanley July 2012 - Present
Financial Industry Regulatory Authority March 2009 - July 2011
Goldman, Sachs & Co July 2007 - February 2009
Delaware State University 2006 - 2007
Computer Aid, Inc. 2006 - 2007
Goldman, Sachs & Co June 2006 - August 2006
PwC June 2005 - August 2005
Skills
Risk Management, Microsoft Excel, PowerPoint, Microsoft Word, Banking, FINRA, Financial Modeling, Finance, Access, Equities, Strategic Financial..., Insurance, Customer Service, Event Planning, Financial Reporting, Public Speaking, Corporate Finance, Financial Markets, Capital Markets, Valuation
Education
Delaware State University 2003 — 2007
Bachelors of Science, Management; Finance and Banking
Financial Industry Regulatory Authority February 2014 - Present
Zip Aviation LLC July 2012 - February 2014
Zip Aviation LLC December 2011 - July 2012
CMIT Solutions of Chelsea/Flatiron February 2010 - May 2011
NYSE Alternext October 2008 - December 2008
American Stock Exchange September 2005 - September 2008
American Stock Exchange July 1997 - August 2005
Skills
Trading Systems, Vendor Management, Options, Trading, Equities, Business Analysis, IT Service Management, Integration, Information Technology, Software Development, ETFs, Requirements Analysis, SDLC, Networking, Derivatives, IT Operations, Risk Management, Disaster Recovery, Testing, Software Documentation, PMP, Data Center, Business Requirements, System Testing, Test Strategy, Test Planning, Documentation, System Verification, Test Cases, User Acceptance Testing, Regression Testing, Regulatory Analysis, FINRA
Education
Embry-Riddle Aeronautical University 1978 — 1980
Associate + Aircraft/Powerplant license, Aircraft Maintenance Technology
Guggenheim Partners April 2015 - Present
Financial Industry Regulatory Authority April 2013 - April 2015
Goldman Sachs December 2003 - March 2013
Atlantic bank of new york 1998 - 2003
Skills
General Ledger, Banking, Investment Banking, Equities, Regulatory Reporting, Securities Regulation, Regulatory Capital, Corporate Finance, Capital Markets, Bloomberg, Securities, Fixed Income, Accounting, Operational Risk, Derivatives, Hedge Funds, Financial Analysis, Risk Management, Finance, Financial Modeling
Education
Dowling College 1994 — 1997
MBA, Banking & Finance
State University of New York College at Oneonta 1987 — 1990
Bachelor of Applied Science (B.A.Sc.), Business economics
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE July 2012 - December 2014
Financial Industry Regulatory Authority June 2010 - August 2012
NYSE Euronext March 2008 - June 2010
City of Chicago May 2005 - March 2008
CIB Bank 2002 - 2003
Skills
Compliance, Regulatory Risk, Financial Crime, Litigation, Civil Litigation, Securities Regulation, FINRA, Equities
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2003 — 2006
Juris Doctor
University of Illinois at Urbana-Champaign 1998 — 2002
Bachelor of Science
University of Illinois at Urbana-Champaign 1998 — 2002
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority April 2010 - Present
Financial Industry Regulatory Authority April 2008 - April 2010
National Association of Securities Dealers June 2006 - April 2008
Legg Mason, Inc January 2006 - June 2006
Legg Mason Wood Walker, Inc September 2003 - January 2006
Legg Mason Wood Walker, Inc September 2001 - September 2003
Legg Mason Wood Walker, Inc February 2001 - September 2001
Extended Stay America Hotels October 2000 - February 2001
Judge Advocat General September 1999 - December 1999
Skills
Securities, Series 7, FINRA, Mutual Funds, Investments, Finance, Financial Services, Financial Analysis, Analysis, Options, Retirement Planning, ETFs, Fixed Annuities, Financial Advisory, Training, Management, Program Management, Series 63, Securities Regulation, Software Documentation, Series 24, Budgets, Fixed Income, Equities, Alternative Investments, Asset Management, Wealth Management, Portfolio Management, Asset Allocation
Education
Strayer University 2001 — 2003
Master of Business Administration, Marketing
Christopher Newport University 1997 — 2000
BS, Government Administration
Christopher Newport University 1997 — 2000
BS, Government Administration; Criminal Justice
Guardian Life September 2013 - Present
Prudential Financial May 2009 - August 2013
Prudential Financial March 2007 - May 2009
NRECA 2005 - 2007
Financial Industry Regulatory Authority May 2005 - October 2005
Prudential Financial November 2003 - April 2005
Skills
Series 7, Series 24, Series 51, Series 66, Pennsylvania Life and..., Securities, FINRA, Mutual Funds, Uniform Combined State..., Leadership, Financial Services, Insurance, Investments
Education
DeSales University 2012 — 2018
Master of Business Administration (MBA), Finance, General
University of Pennsylvania - The Wharton School 2010 — 2011
Certified Regulatory Compliance Professional (CRCP)
The American College 1999 — 2002
Chartered Life Underwriter (CLU), Chartered Financial Consultant (ChFC)
DeSales University 1993 — 1997
Bachelor of Arts (B.A.), Criminal Justice
Financial Industry Regulatory Authority 2006 - Present
National Interstate Insurance Company 2003 - Present
City of Stow 2000 - 2003
Lexis-Nexis 1999 - 2003
Westfield Group/Westfield Insurance 1992 - 1998
Skills
Insurance, Liability, Claim, Arbitration, Hearings, Insurance Law, Dispute, Litigation Management
Education
Cleveland State University 1995 — 1997
Law, Law
West Virginia University
BSBA and MS, Business and Masters of Industial Relations, Cum Laude
Financial Industry Regulatory Authority December 2006 - Present
LVL Meetings June 1997 - Present
Rancho Bernardo Inn May 1993 - May 1997
Skills
Conferences, Event Planning, Volunteer Management, Event Management, Meeting Planning, Meeting Management, Business Meetings, Corporate Meetings, Organizing Meetings, Budgets, Non-profits, Nonprofits, Registration, Trade Shows, Sales, Training, Project Planning, Corporate Events, Fundraising
Education
Colgate University 1983 — 1987
BA, History, Political Science
U.S. Securities and Exchange Commission September 2013 - Present
US Securities and Exchange Commission June 2012 - August 2012
St. John's University School of Law Securities Arbitration Clinic September 2011 - July 2012
Financial Industry Regulatory Authority August 2011 - December 2011
American Management Association 2006 - 2011
Marino & Associates, P.C. January 2010 - August 2010
UBS June 2008 - January 2009
Education
Saint John's University School of Law 2010 — 2013
J.D., Law
Fairfield University 2005 — 2009
B.S., Finance
Ameriprise Financial Services, Inc. January 2010 - Present
Novus Praesumo Consulting LLC January 2009 - January 2010
The Ayco Company, L.P. February 2007 - November 2008
Ameriprise Financial Services, Inc. September 2005 - February 2007
Financial Industry Regulatory Authority February 2004 - October 2005
Parker/Hunter May 2000 - February 2004
Skills
AML, Mutual Funds, Compliance, Securities, FINRA, Insurance, Annuities, Prime Brokerage, Retail Brokerage, Risk Analysis, Risk Mitigation, Securities Litigation, Litigation Support, Sales Management, Sales Support, Supervisory Skills, Staff Supervision, Training & Development, Staff Training, Series 7, Series 66, series 9, series 10, Series 24, series 51, series 55, state insurance license, Legal Research, Legal Writing, Compliance Management, Compliance Audits, SEC compliance
Education
Duquesne University 1989 — 1993
Bachelor of Arts (B.A.), Economics
Duquesne University
Bachelor's degree, Economics and Political Science
The Rehancement Group, Inc. April 2014 - Present
Bates Group LLC 2012 - Present
Financial Industry Regulatory Authority 2010 - 2010
Financial Industry Regulatory Authority January 1996 - October 2001
JPMorgan Chase December 1991 - October 1995
Skills
Securities, Mutual Funds, Financial Reporting, Program Management, Telecommunications, Financial Services, Strategic Planning
Education
Siena College 1986 — 1988
Bachelor of Science (BS), Finance, General
Clarkson University 1983 — 1985
Mathematics and Computer Science
Financial Industry Regulatory Authority 1997 - Present
American Arbitration Association 1996 - Present
Oki Data Americas, Inc. 1979 - 1993
Trio Laboratories Inc. 1974 - 1978
Loral Corporation 1950 - 1973
United States Army 1944 - 1947
Skills
Negotiation, Team Building, Leadership, Contract Negotiation, Strategic Planning, Strategy, Mergers & Acquisitions, New Business Development, Start-ups, Business Strategy, Management, Business Development, Sales Management
Education
Cornell University 1947 — 1950
Bachelor of Engineering (B.E.), Mechanical Engineering
Financial Industry Regulatory Authority June 2009 - Present
NYSE July 2004 - June 2009
Euromoney Institutional Investor July 2001 - July 2004
Skills
SDLC, Market Data, Project Delivery, Business Analysis, Program Management, Agile Methodologies, Databases, Requirements Analysis, Requirements Gathering, Software Project..., SQL, Integration, Visio
Education
Brooklyn College 1998 — 2001
Master of Science (M.S.), Computer and Information Sciences and Support Services
Texas Windstorm Insurance Association January 2014 - Present
Leidos April 2013 - January 2014
Pat Molak Corporation February 2013 - April 2013
Kaplan, Inc October 2008 - February 2013
Alzheimer's Association February 2008 - September 2008
Financial Industry Regulatory Authority October 2006 - December 2007
Odessa Physical Therapy August 2005 - August 2006
Moody Graduate School September 2003 - July 2005
Skills
Microsoft Office, SharePoint, Legal Files, Adobe Acrobat, STAR, QuickBooks, Social Media, Outlook, Higher Education, PowerPoint, Access, Public Speaking, Microsoft Excel, Program Management, Management, Nonprofits, System Administration, Microsoft Word, Training, Fundraising, Editing, Event Planning, Expense Reports, Constant Contact
Education
Moody Graduate School 2003 — 2005
Master of Arts, Urban Ministry
Dallas Christian College 1997 — 2000
Bachelor of Science, Bible and General Studies
MHM August 2010 - Present
Financial Industry Regulatory Authority October 2009 - August 2010
T. Rowe Price March 2007 - April 2009
Skills
Microsoft Office, Customer Service, Microsoft Excel, Financial Analysis, Banking, Strategic Planning, Business Analysis, Risk Management, Project Management, Investments, Microsoft Word, PowerPoint, Business Strategy, Change Management, Process Improvement, Accounting
Education
Strayer University-Maryland 2003 — 2004
Coppin State University 2002 — 2003
Prudential Insurance Company of America January 2015 - Present
Financial Industry Regulatory Authority March 2011 - January 2015
Royal Alliance Associates March 2007 - 2011
AIG Advisor Group 2007 - 2011
Citicorp Investment Services June 2004 - February 2007
Skills
CIP, FINRA, KYC, AML, Bank Secrecy Act, Securities, Securities Regulation, Alternative Investments, Mutual Funds, Fixed Income, Broker-Dealer, Series 7, Options, OFAC, Trading, Series 24, Internal Audit, SEC, USA PATRIOT Act, Financial Risk, Anti Money Laundering
Education
City University of New York-Brooklyn College 1993 — 1997
BS, Accounting
Financial Industry Regulatory Authority May 1997 - Present
Education
City University of New York-John Jay College of Criminal Justice
Bachelor of Arts (BA), Forensic Psychology
Long Island University, C.W. Post Campus
New York University
Villanova University
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority June 2010 - Present
FINRA October 2008 - June 2010
Skills
Call Center, AML, Customer Service, Microsoft Excel, Financial Services, Microsoft Office, Business Analysis, Outlook, Analysis, Equities, Anti Money Laundering, Microsoft Word, Access, PowerPoint, FINRA, Call Centers
Education
Clark University 2004 — 2007
Bachelor's degree, Sociology
Ulster County Community College 2003 — 2004
Associate's degree
Circuit Court of Cook County, Chancery Division October 2010 - Present
Various National Law Firms January 2010 - September 2010
Financial Industry Regulatory Authority May 2008 - December 2008
United States District Court, Northern District of Illinois August 2007 - December 2007
Plantagenet Trading June 2003 - December 2007
Skills
Litigation, Civil Litigation, Commercial Litigation, Competition Law, Motions, Legal Research, Legal Writing, Westlaw
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2006 — 2009
Doctor of Law (JD), Law
Washington University in St. Louis 1999 — 2003
Bachelor of Arts (BA), Psychology-Neuroscience-Philosophy
Government empoyee August 2003 - Present
Financial Industry Regulatory Authority June 2000 - August 2003
NYSE Blue August 1986 - June 1988
Skills
Quickbooks, Tax Preparation, Accounting, Tax Returns, General Ledger, Excel, Word, Platinum, Peach, Quicken
Education
Brooklyn College 1972 — 1978
Bachelor of Schience, Accounting/Economics
Canarsie H.S. 1969 — 1972
Academic, Business
Security Benefit March 2013 - Present
BOX Options Exchange 2010 - 2013
Lathrop & Gage LLP 2009 - 2010
Bingham McCutchen LLP 2005 - 2009
Johnson County KS District Attorney 2004 - 2005
Financial Industry Regulatory Authority 2003 - 2003
American Express Financial Advisors (now Ameriprise Financial, Inc.) 1997 - 2002
Skills
Securities Regulation, Securities, FINRA, Legal Writing, SEC, Capital Markets, Securities Law, Broker-Dealer
Education
Georgetown University Law Center 2005 — 2007
LL.M., with Distinction
Washburn University School of Law 2002 — 2005
J.D., with Honors
Emporia State University 1993 — 1996
B.S.B.
Southern Illinois University School of Medicine/SIU Healthcare October 2014 - Present
Attorney and Counselor at Law May 2013 - Present
Financial Industry Regulatory Authority January 2007 - Present
O'Bleness Health System November 2011 - April 2013
TMC Technologies, Inc. May 2010 - November 2011
Fairmont General Hospital January 1992 - April 2010
University of Pittsburgh Medical Center March 1986 - January 1992
Blaw-Knox Equipment Corporation August 1985 - March 1986
Westinghouse Airbrake Company March 1980 - February 1985
Skills
Healthcare, Healthcare Management, Strategic Planning, Public Speaking, Hospitals, Process Improvement, Team Building, Employee Relations, HIPAA, Healthcare Information..., Insurance, Performance Improvement, Human Resources, Negotiation, Leadership, Employee Benefits, Organizational..., Leadership Development, Policy, Training, Recruiting, Talent Acquisition, Onboarding, Succession Planning, Performance Management, Labor Relations, Employee Engagement, Conflict Resolution, Applicant Tracking..., Talent Management, Employment Law, Contract Negotiation
Education
Duquesne University 1979 — 1983
JD
St. Francis University 1977 — 1979
MA, IR
University of Pittsburgh 1973 — 1977
BA, Pol Sci/Econ
Financial Industry Regulatory Authority March 2014 - Present
Deputy Under Secretary of the Air Force, International Affairs August 2013 - February 2014
Naval Criminal Investigative Service April 2013 - July 2013
US EPA January 2012 - April 2012
ITT September 2011 - December 2011
US EPA June 2011 - July 2011
National Environmental Law Moot Court Competition June 2010 - March 2011
Bar Council of Ireland June 2010 - July 2010
Education
Pace University School of Law 2009 — 2012
Juris Doctor, Certificates in International and Environmental Law
Christopher Newport University 2002 — 2007
Bachelor of Arts (BA) in Political Science and Fine Arts
N/A 2012 - Present
AMTA November 2011 - Present
Financial Industry Regulatory Authority October 2004 - November 2011
Skills
Human Resources, Interviews, PeopleSoft, Recruiting, Talent Management, Employee Relations, Outlook, Administrative..., Event Planning, Talent Acquisition, HRIS, Microsoft Excel, PowerPoint, Training, Microsoft Office, Social Networking
Education
City University of New York City College 1987 — 1988
Communications/Film & Video
Kaplan University
Associate of Arts and Sciences (AAS), Paralegal Studies
HedgeServ November 2011 - Present
Financial Industry Regulatory Authority July 2011 - November 2011
City of New York August 2005 - July 2011
AIG December 1999 - July 2005
IXnet October 1998 - December 1999
AMTAC Computer June 1996 - June 1998
Skills
Cisco Technologies, Hive, Hadoop, Hyperic, Integration, ITIL, Perl, Powershell, Software Documentation, Troubleshooting, VPN
Education
City University of New York City College 1992 — 1996
Electrical Engineering
Financial Industry Regulatory Authority January 2007 - Present
ACS, a Xerox Company January 2005 - December 2005
Seton Hall University February 2004 - December 2004
NMCRA CONNECTORS REALTY February 2003 - January 2004
CIBC World Markets March 1998 - January 2002
CIBC World Markets February 1998 - January 2002
Education
City University of New York-College of Staten Island 1995 — 2003
Bachelors Of Science
High School 1990 — 1992
College Of Staten Island , CUNY Staten
B.S; S, Computer Science; COMPUTER PROGRAMMING
Self Employed January 2009 - Present
Financial Industry Regulatory Authority October 1992 - December 2008
Halsey Stuart/Bache & Prescott/Kemper October 1960 - July 1992
Skills
AML, Auditing, Securities, Broker-Dealer, Financial Statements, Financial Reporting, Accounting, Internal Controls, Tax, Financial Analysis, Strategic Financial..., Securities Regulation, Analysis, FINRA, Financial Regulation, Series 24, Anti Money Laundering, Capital Markets, Hedge Funds
Education
DePaul University 1965 — 1970
Accounting, Management & Economics
The Pransky Financial Group, Inc. March 2011 - Present
NRS September 2005 - March 2011
Financial Industry Regulatory Authority February 1992 - September 2005
Various broker-dealers, banks and transfer agents 1973 - 1991
Skills
AML, Compliance, Mutual Funds, SEC Reporting, FINRA Reporting, Back Office, Bank Custody & Trust..., Risk Management, Securities, Series 7, Finance, FINRA, Financial Services, SEC filings, SEC, Financial Risk, Equities, Hedge Funds, Options, Financial Markets, Alternative Investments, Anti Money Laundering, Investments, Asset Management
Education
Utica College 2015 — 2017
Professional Certificate Program, Financial Crime Investigation
Northeastern University - Graduate School of Business Administration
MBA, finance/marketing
Rutgers, The State University of New Jersey-New Brunswick
Bachelor of Arts (B.A.), Economics
Cohen & Gresser LLP February 2012 - Present
New Jersey Office of Attorney General August 2011 - February 2012
Financial Industry Regulatory Authority 2010 - 2010
International Herald Tribune-JoongAng Daily 2006 - 2008
Skills
Litigation, Legal Research, Securities Litigation, Corporate Law, Intellectual Property, Commercial Litigation
Education
Columbia Law School 2008 — 2011
JD
Graduate School of International Studies at Ewha 2004 — 2006
M.A., International Business
이화여자대학교 / Ewha Womans University 1999 — 2004
Bachelor of Arts (B.A.), Journalism
AlixPartners June 2015 - Present
Becker Law July 2011 - May 2015
Financial Industry Regulatory Authority May 2011 - July 2011
Connexion Technologies June 2010 - April 2011
Becker Law July 2008 - April 2009
12 College Place October 2006 - October 2006
Reed Smith LLP September 2006 - September 2006
Drew & Napier LLC August 2005 - September 2006
Ong & Lau May 2005 - July 2005
Skills
Anti Money Laundering, OFAC, KYC, FCPA, UK Bribery Act, FATCA, Sarbanes-Oxley Act, Anti-corruption, USA PATRIOT Act, Bank Secrecy Act, Securities Regulation, Chapter 13 Bankruptcy, Legal drafting, writing..., Writing, Editing, Mergers, Legal Research, International Law, Corporate Law, Courts, Joint Ventures, Competition Law, Securities
Education
Duke University School of Law 2009 — 2010
LL.M, Masters of Laws
University of Southampton 2005 — 2008
LL.B, Bachelor of Laws, Second Class Upper Honors (2:1) (Magna cum laude)
Central European University 2007 — 2007
Advanced Diploma in Global Legal Practice, EU & WTO Law
Monash University 2005 — 2005
LL.B, Bachelor of Laws
Financial Industry Regulatory Authority June 2010 - Present
Canadian Model Office May 2005 - May 2010
Oshawa February 2002 - April 2005
EDS Canada Ltd. - GM Car Plant January 2000 - January 2002
EDS Canada Ltd. - GM Truck Plant January 1997 - January 2000
EDS Canada Ltd January 1996 - January 1997
EDS Canada Ltd January 1995 - January 1996
EDS Canada Ltd January 1993 - January 1995
Skills
Troubleshooting, Active Directory, Network Administration, Windows, ITIL, Microsoft Office, Windows Server, XP, Technical Support, Networking, Windows XP, Hardware, Help Desk Support, IT Service Management
Education
Durham College 1990 — 1994
Business Administration, Information Systems
Ontario Secondary High School 1984 — 1989
Durham College of Applied Arts and Technology
E.D.S. of Canada Ltd; Business Administration, Information Systems
National Futures Association September 2013 - Present
JPMorgan Chase March 2013 - September 2013
Krislov and Associates October 2011 - November 2012
Financial Industry Regulatory Authority May 2011 - December 2011
Hon. George Lindberg, US District Court, Northern District of Illinois August 2010 - January 2011
Office of Congressman Mel Watt (NC-12) November 2007 - August 2009
Office of Congressman Mel Watt (NC-12) December 2006 - November 2007
Skills
Legal Research
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2009 — 2012
Doctor of Law (J.D.) - Cum Laude
Washington and Lee University 2000 — 2004
Bachelor of Arts, Political Science and Government
Szaferman Lakind May 2014 - August 2014
US Securities and Exchange Commission January 2014 - May 2014
US Bankruptcy Court June 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Excel Sports Management June 2012 - August 2012
Epstein's Restaurant and Bar August 2009 - August 2012
La Cantina Aspen January 2004 - October 2008
Skills
Business and Finance Law, Legal Research, Legal Writing, Microsoft Excel, Microsoft Word, Spanish, Financial Analysis, Financial Accounting, Contract Negotiation, Legal Contract Review, Research, Program Management, Finance, Analysis, Legal Issues, Bankruptcy, Civil Litigation, Data Analysis, Litigation, Management, Microsoft Office
Education
Rutgers Business School 2012 — 2015
Master of Business Administration (M.B.A.), Banking, Corporate, Finance, and Securities Law
Rutgers University School of Law - Newark 2011 — 2015
Juris Doctor
City University of New York 2009 — 2010
Bachelor of Science (BS), International Relations
UNC Chapel Hill 2000 — 2004
N/A, History
FINRA January 2007 - Present
Financial Industry Regulatory Authority August 2004 - January 2007
Swissotel Chicago November 2001 - August 2004
Skills
Administrative..., Outlook, Travel Arrangements, Fax, Spreadsheets, Data Entry, Microsoft Excel, File Management, Adobe Acrobat, Customer Service, Meeting Scheduling, Nuance
Education
City Colleges of Chicago-Harry S Truman College 2011 — 2012
Certificate, Medical Billing and Coding
HSBC Securities January 2014 - Present
Financial Industry Regulatory Authority October 2007 - December 2013
Skills
Electronic Trading, Trading
Education
Tulane University Law School 2002 — 2005
J.D., Sports Law Certificate
College of the Holy Cross 1995 — 1999
B.A., Political Science
Regis High School 1991 — 1995
Financial Industry Regulatory Authority June 1999 - Present
Skills
FINRA, AML, Securities Regulation, OFAC, Securities, SEC, Broker-Dealer, Financial Regulation, Series 7, Bank Secrecy Act, USA PATRIOT Act, Hedge Funds, Series 24, Mutual Funds, Investment Advisory, KYC, Equity Trading, Series 63, Capital Markets, Anti Money Laundering
Education
Brooklyn College
Bachelor of Arts (B.A.)
Menchel Consulting LLC September 2012 - Present
Financial Industry Regulatory Authority April 2002 - May 2012
Tucker Anthony 1995 - 2002
Prudential Securities 1989 - 1995
Skills
Broker-Dealer, Corporate Governance, Securities Litigation, Financial Regulation, Internal Investigations, Hedge Funds, FCPA, Equities, Private Placements, Investment Company Act, Investment Advisers Act, Corporate Law, Fixed Income, Financial Services, USA PATRIOT Act, OFAC, Trading, Options, Private Equity, Policy, Alternative Investments, Prime Brokerage
Education
Syracuse University College of Law 1977 — 1980
Doctor of Law (JD)
Davidson College 1973 — 1977
AB
VSTARS, Inc. July 2011 - Present
Financial Industry Regulatory Authority April 2011 - Present
Attorney at Law April 1986 - Present
Federal Law Enforcent Training Center November 2002 - December 2010
Internal Revenue Service November 1976 - July 2002
Skills
Financial Fraud..., Licensed Financial..., Attorney at Law, Criminal Law, Tax, Investigations, Arbitration, Investigation, Bank Secrecy Act, Fraud, Litigation, Compliance, Courts, Internal Investigations, Criminal Investigations, Fraud Investigations, Private Investigations, Due Diligence, Dispute Resolution, Government, Civil Litigation, Criminal Defense
Education
University of Akron 1981 — 1985
JD, Law
Eastern Michigan University
BBA, MBA, Business Management, Finance
Eastern Michigan University
Aerotek October 2012 - Present
Aerotek Scientific March 2011 - October 2012
Financial Industry Regulatory Authority May 2010 - March 2011
Skills
Interviews, Recruiting, Microsoft Office, Technical Recruiting, Temporary Placement, Internet Recruiting, Staffing Services, Applicant Tracking..., Management, Networking, Talent Management, Contract Recruitment, Coaching, Sourcing, Talent Acquisition
Education
East Carolina University 2006 — 2009
Bachelors, Finance
IFM Investors July 2014 - Present
Latham & Watkins December 2008 - July 2014
Mayer Brown October 2006 - December 2008
Financial Industry Regulatory Authority May 2005 - December 2005
United States District Court for the Eastern District of Michigan May 2004 - August 2004
Skills
Mergers & Acquisitions, Legal Writing, Legal Research, Corporate Law, Private Equity, Due Diligence, Intellectual Property, Securities Regulation, Venture Capital, Corporate Finance, Hedge Funds, Investment Advisory..., Investment Company Act, Securities Exchange Act..., Investment Advisers Act
Education
Dartmouth College 1997 — 2001
Bachelor of Arts (B.A.), Philosophy, High Honors
The George Washington University Law School 2003 — 2006
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
J.P. Morgan May 1998 - Present
Financial Industry Regulatory Authority December 1994 - April 1998
United States General Accounting Office (now known as the Government Accountability Office) August 1989 - December 1994
Skills
Securities, Series 24, Securities Regulation, Series 7, Financial Regulation, Broker-Dealer, FINRA, OFAC, Anti-corruption
Education
Cornell University
Nassau Community College
Associate's degree, Liberal Arts
Morgan Stanley November 2013 - Present
Investment Technology Group, Inc. May 2006 - November 2013
Financial Industry Regulatory Authority April 2004 - May 2006
Citi October 2000 - April 2004
Dreyfus Brokerage Services, Inc. January 1998 - October 2000
Skills
Series 7, Series 24, Series 55, Series 63, Bonds, Prime Brokerage, FX Options, Broker-Dealer, Wealth Management, Derivatives, Trading Systems, Trading, Financial Services, Equity Trading, Securities Regulation, Equities, Hedge Funds, Options
Education
Dowling College 2000 — 2002
Master of Business Administration (M.B.A.), Banking and Finance
State University of New York College at Oswego 1993 — 1997
Bachelor of Science (B.S.), Business Administration
Ulmer & Berne LLP September 2013 - August 2014
Hinshaw & Culbertson LLP January 2012 - March 2013
Financial Industry Regulatory Authority December 2005 - September 2010
BMO Harris Bank August 2003 - December 2005
Skills
Microsoft Word, Microsoft Excel, Outlook, Lotus Notes, iManage, FileNet, Adobe Acrobat, NBI, Aderant Expert 7.5 (CMS), iCreate, iVault, iLien Online, Baker Hill, NLSS, MATRICS, Project Management, Travel Management, Executive Calendar..., Customer Service, File Management, File Archiving, Time Management, CRAFTIS, Scheduling Hearings, Paneling Arbitration, Email, Managing Sensitive..., Oral & Written..., PowerPoint, Quality Process..., Typing - 70 WPM, Records Management, Training Counterparts, Reconciling Expense..., Spanish..., Managing Database, Nuance, Summation Pro, Concordance, Document Review, Document Management, Litigation Support, Westlaw, Project Coordination, Event Coordination, Team Mentoring, Team Leadership, SharePoint, Worldox, AdvantageLaw
Education
Harold Washington College
Associate Degree
DePaul University
Bachelor Degree (Pending - 130 quarter hours completed coursework.), Industrial and Organizational Psychology
Financial Industry Regulatory Authority January 2006 - Present
Washington Mutual Bank March 2003 - December 2005
Education
Concordia University-Wisconsin 2000 — 2002
MBA - Finance, Finance, General
Pershing April 2012 - Present
Newbridge Securities Corporation / Newbridge Financial Services Group, Inc. March 2009 - February 2012
Blueprint Regulatory Consulting 2010 - 2012
ACA Compliance Group May 2008 - March 2009
Financial Industry Regulatory Authority March 2005 - May 2008
Skills
FINRA, Hedge Funds, Fixed Income, Securities, Mutual Funds, Investment Banking, Asset Managment, Internal Controls, Investments, Asset Management, Series 24, Capital Markets, Due Diligence, Financial Analysis, Insurance, Series 63, Financial Risk, Risk Management, Investment Advisory, Private Equity, Series 7, KYC, Equities
Education
Florida Atlantic University 2005 — 2007
Master of Business Administration, Finance
Central Michigan University 1996 — 2000
Bachelor of Applied Arts, Finance
Financial Industry Regulatory Authority June 2010 - Present
NYSE Euronext March 2004 - June 2010
Timber Hill, LLC / Interactive Brokers Group, Inc. February 2000 - February 2004
SUNY Farmingdale August 2000 - June 2001
Skills
Financial Markets, Trading, Options, FINRA, ETFs, Analysis, Finance, Securities, Equities, AML, Securities Regulation, Series 7, Capital Markets, Hedge Funds, Bloomberg, Financial Services, Trading Systems, Investment Banking, Investment Strategies, Financial Risk, Series 24, Equity Trading, Fixed Income, Derivatives, Electronic Trading, Mutual Funds, Portfolio Management, Series 63, Financial Regulation, Investments, Strategic Financial..., Asset Management, Risk Management, Swaps, Due Diligence, Asset Allocation
Education
Dowling College 1998 — 2000
Master of Business Administration (MBA), Banking, Corporate, Finance, and Securities Law
Commack High School 1985 — 1989
SUNY Old Westbury
Bachelor's degree, Finance
Deloitte January 2014 - Present
Internal Revenue Service September 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Russell K. Osgood May 2011 - September 2011
Education
Washington University in St. Louis 2010 — 2013
Doctor of Law (J.D.), Law
Elmhurst College 2006 — 2009
Bachelor of Science (B.S.), Economics, Finance
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Bank of America November 2014 - Present
Macy's August 2013 - November 2014
Financial Industry Regulatory Authority June 2011 - August 2011
Skills
Customer Service, Microsoft Excel, Microsoft Office, PowerPoint, Call Centers, Data Entry, Retail, Inventory Management, Microsoft Word, Telephone Skills, Teamwork, Research
Education
University of Maryland College Park 2012 — 2014
Bachelor of Science (BS), Accounting
College of Southern Maryland 2010 — 2012
Financial Industry Regulatory Authority 2012 - Present
Brandon Technology Consulting 2011 - 2012
TSA 2009 - 2011
Naval Medical Research Center 1991 - 2009
Skills
Disaster Recovery, Enterprise Architecture, Active Directory, Data Center, Network Security, Solaris, Cisco Nexus, Cisco Technologies, Security, Dell PowerEdge Servers, TCP/IP
Education
University of Maryland College Park 1993 — 1994
Master of Business Administration (MBA), Finance
Carnegie Mellon University 1985 — 1989
Bachelor of Science (B.S.), Electrical and Computer Engineering
Wells Fargo Advisors June 2015 - Present
Wells Fargo Securities December 2013 - Present
Financial Industry Regulatory Authority January 2006 - August 2010
Legg Mason Wood Walker April 2005 - December 2005
Legg Mason Wood Walker June 2003 - April 2005
Legg Mason Wood Walker January 1999 - June 2003
Skills
Securities, FINRA, Hedge Funds, Mutual Funds, Investments, Wealth Management, Investment Banking, Finance, AML, Series 7, Equities, Financial Risk, Litigation, Fixed Annuities, Process Improvement, Analysis, Training, Arbitration, Series 24, Broker-Dealer, Swap Dealer
Education
Charlotte School of Law 2010 — 2012
Doctor of Law (J.D.)
James Madison University 1995 — 1999
Bachelor of Business Administration (B.B.A.), Finance, General
Financial Industry Regulatory Authority July 2004 - Present
U.S. Department of Justice March 1999 - June 2004
Commodity Futures Trading Commission February 1995 - March 1999
Education
DePaul University College of Law 1991 — 1994
Juris Doctorate
Loyola University of Chicago 1982 — 1986
Bachelor of Business Administration (B.B.A.), Accounting and Finance
Financial Industry Regulatory Authority October 2006 - Present
WilmerHale 2002 - 2006
Fried Frank 1995 - 2002
Education
Columbia Law School 1992 — 1995
Doctor of Law (J.D.)
Columbia University in the City of New York 1988 — 1995
Doctor of Philosophy (Ph.D.), Political Science and Government
Indiana University Bloomington 1984 — 1988
Bachelor of Arts (B.A.), Journalism and Political Science
Financial Industry Regulatory Authority November 2005 - Present
Skills
FINRA, Securities Regulation, Financial Regulation, AML, Financial Planning, Series 7, Series 63
Education
DePaul University
Bachelor of Science (BS), Finance
Quinlan School of Business, Loyola University Chicago
Master of Business Administration (MBA), Finance, Economics, International Studies
Leidos October 2013 - Present
SAIC October 2006 - September 2013
DARPA October 2000 - September 2006
Financial Industry Regulatory Authority April 1996 - September 2000
Financial Crimes Enforcement Network November 1990 - April 1996
Department of the Navy 1985 - 1990
Booz Allen Hamilton 1983 - 1985
Skills
Artificial Intelligence, Quantitative Research, Data Mining, Data Analysis, Project Management, Program Management, Machine Learning, Algorithms, Computer Science, Statistics, System Architecture, Systems Engineering, Simulations, Big Data, Distributed Systems, Integration, Defense, Operations Research, High Performance..., DoD, Software Design, Project Portfolio..., Security, Security Clearance
Education
MIT 1975 — 1979
S.B. Physics; S.B. Electrical Engineeri
Cornell University 1979 — 1982
Physics
The George Washington University - School of Business 1996 — 1998
Finance
Geneos Wealth Management December 2013 - Present
Financial Industry Regulatory Authority November 2010 - May 2013
State of Colorado, Division of Securities December 2005 - November 2010
State of Colorado, Division of Insurance March 2004 - December 2005
Investment Management Consultants Ltd November 1998 - November 2003
ICON Advisers Inc., formerly Meridian Investment Management Corporation May 1992 - September 1998
OppenheimerFunds June 1990 - March 1992
Skills
Broker-Dealer Compliance, Investment Advisor..., Fraud Detection, Securities Regulation, Securities Offerings, Insurance Law, Investments, AML, Due Diligence, NASAA Investment..., NASAA Investment..., NRS Investment Adviser..., NRS Investment Adsviser..., General Securities..., Securities Fraud, insurance regulation, compliance, Series 7, Series 24, Compliance Management
Education
Colorado State University 1986 — 1999
Bachelor of Science in Accounting and Business Administration, Accounting, 3.8
Financial Industry Regulatory Authority March 2014 - Present
Compliance Consulting March 2013 - February 2014
Rochdale Securities 2003 - 2013
Hagströmer & Qviberg, Inc. January 1999 - July 2002
NEW JAPAN SECURITIES INTERNATIONAL INC. April 1987 - January 1999
Skills
Compliance, AML/OFAC, Director of Operations, FINOP (Financial and..., Regulatory Reporting, All Relevant FINRA..., Operational Risk, Project Management, Dodd-Frank, Accounting, Policy, FINRA, Financial Services, Equities, AML, Anti Money Laundering, Investments, Securities, Finance, Series 7, Fixed Income, Trading
Education
John Jay College of Criminal Justice 1973 — 1978
Bachelor's degree, Psychology
Financial Industry Regulatory Authority February 2011 - Present
Financial Industry Regulatory Authority January 2000 - January 2011
Skills
Budgets, Team Building, Microsoft Excel, Microsoft Word, Outlook, QuickBooks
Education
University of Illinois at Chicago 1995 — 1998
Master of Business Administration (MBA), Finance
Chicago State University 1986 — 1991
B.S, Accounting