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
Palm Beach State College October 2006 - Present
Financial Industry Regulatory Authority May 2000 - March 2006
Skills
Office Management, Wordperfect, Research, Resume Writing, Fax, PowerPoint, Notary Public, Administrative..., Time Management, Microsoft Word, Filing, Fundraising, Calendars, Outlook, Data Entry, Nonprofits, Spreadsheets, Community Outreach, Public Speaking, Payroll, Multi-line Phone, Office Administration, Calendaring, Telephone Skills, Invoicing, File Management
Education
Keiser University-Ft Lauderdale 2003 — 2004
AS, Paralegal
Amazon May 2014 - Present
Amazon September 2013 - May 2014
Financial Industry Regulatory Authority September 2012 - September 2013
Federal Lock & Safe, Inc. October 2011 - May 2012
Vector Marketing June 2007 - August 2007
Skills
Microsoft Office, Finance, Customer Service, Accounting, Interpersonal Skill, Analysis, Technology, Critical Thinking, Creativity, Time Management, Microsoft Word, Data Analysis, PowerPoint, Access, Social Media, Sales, Leadership, Outlook
Education
James Madison University 2007 — 2011
Bachelor of Business Administration (B.B.A.), Finance
Financial Industry Regulatory Authority February 2013 - September 2015
Office of the Kansas Securities Commisioner September 2006 - January 2013
Merrill Lynch July 2005 - September 2006
Skills
Financial Regulation, Litigation, Criminal Law
Education
Washburn University School of Law 2002 — 2005
Juris Doctorate
Kansas State University 1998 — 2002
Bachelor of Science (BS), Finance, General
SunEd High School February 2013 - Present
SunEd Charter High School February 2013 - Present
University of Fort Lauderdale February 2011 - February 2013
Financial Industry Regulatory Authority June 1999 - January 2011
J.P. Morgan August 1997 - June 1999
Skills
Training, Team Building, Teaching, Staff Development, Leadership Development, Data Analysis, Educational Technology, Admissions, Higher Education, Strategic Planning, Public Speaking, Policy, Enrollment Management, Educational Leadership, Analysis, Social Media, Career Development, Editing, Entrepreneurship, E-Learning, Research, Student Recruiting, Instructional Design, Coaching, Adult Education, Curriculum Development, Nonprofits
Education
Saint Joseph's College 2002 — 2005
Master of Business Administration (M.B.A.) /Management, Business Administration and Management, General
Metropolitan College of New York 1996 — 1999
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General
Anne Arundel Community College February 2015 - Present
Anne Arundel Community College August 2014 - February 2015
Banner Publications July 2014 - August 2014
Bay State Banner December 2013 - July 2014
Rivera-Bujosa Law, PC October 2013 - May 2014
Elections February 2011 - 2013
Financial Industry Regulatory Authority 2003 - 2006
NASDAQ 2000 - 2003
Skills
Volunteer Management, Political Campaigns, Newsletters, Media Relations, Proofreading, Editing, News Writing, Strategic Communications
Education
Kent State University 1993 — 1998
Bachelor's degree, Political Science and Government
Financial Industry Regulatory Authority May 2013 - Present
Wells Fargo Advisors October 2006 - May 2013
WACHOVIA BANK February 2004 - October 2006
First Washington State Bank 1998 - February 2004
Skills
customer relations, Microsoft Word, Excel, PowerPoint, Lotus Notes, various Internet..., Compliance..., CTRS, Suspicious Activity..., OFAC, Anti Money Laundering, Report Writing, Job Scheduling, Credit Analysis, Auditing, Finance, Compliance, Account Management, Collections, Teller Operations, Training, Interviewing Skills, KYC, Analysis Reports, Underwriting, Organization, Motivated self-starter, Superior Work Ethic, Customer Service, Financial Analysis, Financial Services, Management, Microsoft Excel, Mutual Funds, Securities
Education
Kean University 2000 — 2002
Bachelor of Arts, Criminal Justice
Ocean County College 1996 — 2000
Associate's degree, Criminal Justice
Financial Industry Regulatory Authority May 2013 - Present
Financial Industry Regulatory Authority February 2013 - May 2013
Loyola University Chicago Center for Tutoring and Academic Excellence September 2012 - January 2013
Skills
Critical Thinking, Team Leadership, Leadership, PowerPoint, Microsoft Excel, Academic Achievement, Higher Education, Financial Compliance, Financial Analysis, Auditing, Financial Statement..., Suitability Analysis, Business Travel, Variable Annuities, Net Capital Computations, Time Management, Microsoft Word
Education
Loyola University of Chicago 2009 — 2013
Bachelor of Business Administration (B.B.A.), Economics and Finance, Alumni
St Xavier High School 2005 — 2009
JPMorgan Chase January 2013 - Present
JPMorgan Chase August 2011 - January 2013
Financial Industry Regulatory Authority October 2009 - August 2011
NYSE Regulation September 2008 - December 2008
Financial Industry Regulatory Authority May 2008 - August 2008
Chalos, O'Connor and Duffy February 2007 - May 2008
Kaplan Test Prep July 2004 - February 2007
Skills
Series 7, Admitted to Practice, Securities, Securities Regulation, Fixed Income
Education
Hofstra University School of Law 2005 — 2008
Doctor of Law (J.D.), Banking, Corporate, Finance, and Securities Law
Binghamton University 2001 — 2004
Bachelor of Arts (B.A.), Philosophy, Politics and Law
Jericho High School 1997 — 2001
Foreside Financial Group, LLC August 2013 - September 2014
Financial Industry Regulatory Authority September 1999 - July 2013
The Vanguard Grouop of Investment Companies, Inc. January 1986 - September 1999
Microcircuit Engineering Corporation May 1983 - September 1985
Skills
Regulatory Affairs, Compliance, Microsoft Office, Inspection, Investigation, Investigative Reporting, Advertising, Retirement, Retirement Planning, 401k, Financial Services, Anti Money Laundering, Customer Service, Asset Management
Education
University of Lancaster 1985 — 1986
Master of Arts (M.A.), Business Analysis
Rutgers University 1981 — 1985
Bachelor of Arts (B.A.), Business Administration, Management and Operations
Attorney at Law 2014 - Present
Financial Industry Regulatory Authority October 2000 - January 2014
U.S. Court of Appeals, 10th Circuit August 1993 - August 1994
Skills
Public Speaking, Litigation, Legal Research, Strategic Planning, Civil Litigation, Nonprofits, Due Diligence, Contract Negotiation, Securities, Estate Planning, Mergers & Acquisitions, Arbitration, Social Media, Fundraising, Research, Intellectual Property, Securities Regulation, Commercial Litigation, Securities Litigation, Negotiation, Financial Analysis, Policy Analysis, Data Analysis, Business Analysis, Special Investigations, Investigation, Financial Policies &..., Drafting Policies, Privacy Regulations, Investment Management, Legal Writing
Education
The University of New Mexico School of Law 1990 — 1993
J.D.
University of San Francisco 1981 — 1983
B.A., Economics
Lawrence University
CNSI February 2015 - Present
Comfort Keepers August 2013 - February 2015
Comfort Keepers of Rockville January 2013 - August 2013
DrinkMore Water June 2012 - January 2013
The Sinergy Group April 2012 - June 2012
Financial Industry Regulatory Authority October 2011 - December 2011
Skills
Leadership, Customer Service, Event Planning, Time Management, Sales, Social Networking, Microsoft Word, Fundraising, Recruiting, Healthcare, Inventory Management, Microsoft Office, PowerPoint, Event Management, Retail, Customer Satisfaction, Administration, Home Health Agencies, Events Organisation
Education
James Madison University 2007 — 2011
Bachelor of Science, Anthropology with Biological concentration
Richard Montgomery High School 2004 — 2007
High School Diploma
Hamasdegh Armenian School 1994 — 2004
Armenian Language Diploma, Top Graduate of Class
Standard and Poors May 2010 - Present
Financial Industry Regulatory Authority July 2007 - May 2010
New York Stock Exchange Regulation July 2005 - July 2007
Skills
Securities, Capital Markets, FINRA, Financial Regulation, Financial Services, Structured Finance, Broker-Dealer, Financial Analysis, AML, Securities Regulation, Alternative Investments, Fixed Income, KYC, Hedge Funds, Equities, Derivatives, Financial Risk
Education
Iona College 2003 — 2005
Bachelor of Business Administration (BBA), Accounting
Pershing, a BNY Mellon company June 2014 - Present
Financial Industry Regulatory Authority May 2013 - May 2014
Pershing, a BNY Mellon company September 2007 - May 2013
Skills
•Core Business and..., •General Management..., •Strategic Planning..., •Staff Development, •Regulatory Compliance..., •Customer Service and..., •Growth and..., •Operational Support, •Rapid Conflict..., •Cross-Functional..., Training, Auditing, Finance, Leadership, Accounting, Analysis, Financial Analysis, Financial Reporting, Mutual Funds
Education
Saint Peter's University
Master of Business Administration, Finance
Saint Peter’s University
Master of Science, Accountancy
Kean University
Bachelor of Arts, Economics
Kean University
Bachelor of Science, Business Science
BTG Pactual June 2014 - August 2014
Financial Industry Regulatory Authority January 2014 - May 2014
Philip Lee Solicitors May 2013 - August 2013
IACCM January 2012 - August 2012
University of Central Florida July 2009 - January 2012
ACKERMAN-USA, Inc. October 2004 - December 2011
Fazio, Rynski & Associates, P.C. October 2004 - November 2005
Skills
Research, Public Speaking, International Law, Data Analysis, Strategic Planning, Teamwork, Corporate Finance, Leadership, Strategy, Analysis, Mediation, Social Media, Contract Negotiation, Team Leadership, Market Research, Legal Writing, Management, Due Diligence, Risk Management, Business Strategy, Arbitration, Mergers & Acquisitions, Corporate Law, Corporate Governance, Contract Management, Negotiation, Compliance, Capital Markets, Hedge Funds, Legal Research
Education
Hofstra University School of Law 2012 — 2015
Doctor of Law (J.D.), International Finance/Trade/Commerce
University of Central Florida 2009 — 2011
BS w/Honors, Legal Studies
Financial Industry Regulatory Authority 1988 - Present
Underwiriter January 1986 - May 1988
Skills
Management, Risk Management, Customer Service, Investments, Finance, Strategic Planning, Business Analysis
Education
University of Maryland University College 1991 — 1997
business Managment and Accounting, Business Administration and Management, General
Huston-Tillotson University 1973 — 1977
Bachelor of Science (BS), Economics
NeuStar, Inc. June 2014 - Present
Mercury Systems Inc. May 2012 - Present
Financial Industry Regulatory Authority July 2013 - May 2014
CompuGain September 2012 - June 2013
Indana International LLC. January 2012 - May 2012
University of Utah December 2011 - January 2012
FirstRainbow LLC June 2011 - December 2011
University of Utah August 2009 - July 2011
Skills
Java, Android, Oracle Certified Java..., Java Persistence API, PostgreSQL, MySQL, HTML5, JavaScript, Git, C++, Java Enterprise Edition, JUnit, Testing, REST API, Gradle, Puppet, Python, RabbitMQ, Scala, Spring, Amazon Web Services..., Hibernate, OSGi, JSP, Tomcat, Underscore.js, Quartz, SVN, JPA, Maven, Android SDK, XML Schema, Apache Thrift, Log4j, Bootstrap, Play Framework, Hadoop, Hive, SAS, Jenkins, CloudBees, Matlab, Labview, Nanomaterials, Materials Science, Powder X-ray Diffraction, Nanotechnology
Education
University of Utah 2009 — 2011
Master of Science, Materials Science & Engineering
Huazhong University of Science and Technology 2004 — 2008
Bachelor of Engineering, Materials Science & Engineering
Financial Industry Regulatory Authority December 2012 - Present
Merrill Lynch July 2010 - December 2012
Randstad November 2009 - July 2010
Skills
Accounting, Financial Statements, Outlook, Financial Reporting, Microsoft Excel, PowerPoint, Microsoft Word, Leadership, Microsoft Office, Customer Service, Project Management, Strategic Planning, Financial Analysis, Process Improvement, Regulatory Operations, Regulatory Guidelines
Education
King's College 2005 — 2009
BS, Accounting
Notre Dame High School 2001 — 2005
Financial Industry Regulatory Authority May 2013 - Present
Skills
Legal Research, Litigation
Education
Hofstra University School of Law 2010 — 2013
J.D, Business Law Honors Concentration
University of Central Florida 2006 — 2010
Bachelor of Science (BS), Business Administration (Major: Accounting; Minor: Finance)
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
Financial Industry Regulatory Authority March 2011 - April 2014
CBS News June 2009 - August 2009
Libertas Global Partners (Non-Profit) June 2008 - August 2008
Nike Tennis Camp June 2007 - August 2007
Skills
Research, Data Analysis, SharePoint, Public Speaking, Microsoft Excel, Access, PowerPoint, Finance, FINRA, Microsoft Office, Outlook
Education
Johnson C. Smith University - JCSU 2006 — 2010
Bachelor of Arts, Communications, 3.8
Serco September 2014 - Present
CGH Technologies June 2013 - March 2014
AE Strategies January 2012 - May 2013
American Red Cross December 2010 - March 2011
Montgomery County Government January 2009 - December 2010
Verizon 1997 - 2002
Financial Industry Regulatory Authority 1994 - 1997
Skills
Instructor-led Training, Organizational..., Instructional Design, Organizational..., E-learning, Change Management, Training Documentation, End User Training, Curriculum Development, Team Building, Curriculum Design, E-Learning, Blended Learning, Training, Captivate, Learning Management...
Education
The Johns Hopkins University
MBA, Technology
Indiana University of Pennsylvania
BS, Training and Development
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
J.P. Morgan August 2013 - February 2015
Financial Industry Regulatory Authority May 2013 - August 2013
CSS Staffing September 2012 - May 2013
Morgan Stanley May 2009 - August 2009
Skills
Microsoft Excel, LexisNexis, QuickBooks, Financial Analysis, PowerPoint, Customer Service, Research, Microsoft Office, Microsoft Word, Valuation, Economics, PeopleSoft, Equities
Education
University of Delaware - Lerner College of Business and Economics 2012 — 2014
Master of Science (M.S.), Accounting
Indiana University Bloomington 2011 — 2012
Bachelor of Arts (B.A.), Economics
Seyfarth Shaw LLP September 2014 - Present
Field and Goldberg, LLC January 2013 - April 2014
Illinois Attorney General's Office September 2012 - December 2012
Financial Industry Regulatory Authority June 2012 - August 2012
Fitch Ratings May 2008 - July 2011
Skills
Arbitration, Dispute Resolution, Accounting, Accounts Payable, Breach Of Contract, Pleadings, Invoicing, Financial Analysis, Microsoft Excel, PowerPoint, Financial Modeling, Microsoft Office, Capital Markets, Microsoft Word, Valuation
Education
Northwestern University School of Law 2012 — 2014
Loyola University of Chicago 2010 — 2011
Master of Business Administration (MBA), Finance
Loyola University of Chicago 2006 — 2010
Bachelor of Business Administration (BBA), Accounting
DC Government April 2002 - Present
The Department of Insurance, Securities and Banking April 2002 - Present
Financial Industry Regulatory Authority September 1985 - April 2002
Education
Howard University 1970 — 1973
General Studies
Financial Industry Regulatory Authority February 2013 - Present
Davis Polk & Wardwell LLP November 2011 - February 2013
U.S. Securities and Exchange Commission January 2011 - May 2011
Nixon Peabody June 2010 - July 2010
AXA Equitable May 2006 - June 2008
Skills
Legal Research
Education
Albany Law School of Union University 2008 — 2011
Doctor of Law (J.D.), Business/Commerce, General
Le Moyne College 1999 — 2003
Bachelor of Science (B.S.), Psychology
Financial Industry Regulatory Authority April 2012 - February 2015
Cigital December 2010 - April 2012
Outcome November 2007 - November 2010
Skills
Software Quality..., Testing, SDLC, Quality Assurance, Quality Center, Requirements Analysis, SQL, Agile Methodologies, Java, C++, Oracle, Unix, Software Project..., Software Development, Scrum, HP Quality Center
Education
Northeastern University 2009 — 2010
Masters, Engineer Management
Manhattan College 2003 — 2007
Bachelor, Computer Engineering
Gorton High School
Gorton High School
Financial Industry Regulatory Authority March 1997 - Present
Skills
FINRA, Dispute Resolution, Securities Regulation, Securities, Arbitration, Due Diligence, Corporate Governance, Policy, Litigation, Commercial Litigation, Employment Law, Legal Research, Legal Writing, Mediation, Corporate Law
Education
Katharine Gibbs School 1995 — 1997
Executive Legal Assistant, Legal
Vacasa February 2015 - Present
TGD Communications May 2012 - April 2015
Financial Industry Regulatory Authority April 2011 - January 2012
InnerWorkings May 2007 - March 2011
Sony Music Entertainment 2005 - 2007
SAIC July 2003 - February 2004
Skills
Marketing, Marketing Communications, Business Development, SEO, Direct Mail, Corporate Communications, Direct Marketing, Event Planning, Marketing Strategy, New Business Development, Sales Management, Sales, Negotiation, Social Media Marketing, Merchandising, Creative Services, Branding & Identity, Strategic Partnerships, Outdoor Recreation, Coordinating Events, Outdoor Adventures
Education
James Madison University 1999 — 2003
BS, Media Arts & Design
North American Securities Administrators Association (NASAA) July 2013 - Present
Financial Industry Regulatory Authority September 2011 - July 2013
Washington, D.C. Superior Court May 2010 - September 2011
Skills
Legal Writing, Securities Regulation, Litigation, Legal Research, Westlaw, Contracts, Corporate Law, General Corporate..., Corporate Finance, Corporate Governance
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
JD (cum laude)
Miami University 2002 — 2006
BA (cum laude), Political Science and Business Legal Studies
Montgomery, Chapin & Fetten, P.C. September 2015 - Present
Superior Court of New Jersey August 2014 - August 2015
Financial Industry Regulatory Authority January 2014 - March 2014
Passaic Vicinage January 2014 - March 2014
Morris-Sussex Vicinage June 2013 - August 2013
Baker & Hostetler LLP May 2012 - April 2013
Picatinny Arsenal May 2009 - August 2011
Skills
Legal Research, Legal Writing, Westlaw, Civil Litigation, International Law, Intellectual Property, Corporate Law, Corporate Governance, Copyright Law, Research, Lexis, Litigation, White Collar Criminal..., Legal Issues, Private Investigations, Mediation, Criminal Law, Legal Assistance
Education
Rutgers University School of Law - Camden 2011 — 2014
Doctor of Law (J.D.)
Loyola College in Maryland 2007 — 2011
B.A., Political Science and Government
West Morris Mendham High School 2003 — 2007
High School
Financial Industry Regulatory Authority May 2013 - Present
AIT Resource Group, Inc. January 2013 - Present
American IT Resource Group December 2011 - Present
NTTDATA 2013 - 2013
CONSIM INFO PVT LTD February 2011 - November 2011
3i Infotech May 2010 - February 2011
FINRA 2007 - 2010
AIT Resource Group, Inc. 2007 - 2010
Fannie Mae 2006 - 2007
GCE 2004 - 2006
Skills
Data Warehousing, Web Services
Education
Manonmaniam Sundaranar University 1991 — 1995
BE, Computer science & Engineering
Capital One October 2014 - Present
Financial Industry Regulatory Authority September 2009 - December 2009
Bethpage Federal Credit Union May 2008 - August 2008
Skills
Microsoft Office, Financial Analysis, Financial Services, Microsoft Word, Finance, PowerPoint, Microsoft Excel, Research, Customer Service, Time Management, Accounting, Banking, Outlook, Leadership, Loans, Credit Analysis
Education
LIU Post 2006 — 2010
Bachelor's degree, Economics
Financial Industry Regulatory Authority September 2012 - Present
Ethics, Business Conduct, Fraud Prevention Professionals network July 2011 - August 2012
Insurance, Investment & Financial Services January 2011 - August 2012
Park Avenue Securites March 2011 - June 2011
New York Life International LLC 2009 - 2010
New York Life International LLC 2008 - 2009
Park Avenue Securities The Guardian Life Insurance Company of America 2000 - 2008
Gruntal & Co. LLC 1996 - 2000
Chatfield Dean & Co,, Inc. 1995 - 1996
Skills
Compliance, Securities, Insurance, Series 7, FINRA, Investment Advisory, Governance, Investments, PowerPoint, Public Speaking, Negotiation, Contract Negotiation, Excel, Licensing, Internal Investigations, Regulatory Reporting, Professional Conduct, FCPA, SEC, NASD, Broker-Dealer Compliance, Regulatory Examinations
Education
Loyola University New Orleans College of Law
JD, Law
University at Buffalo
BA cum laude, Speech Communications
Financial Industry Regulatory Authority
Skills
Contemporary Art, Painting, Figurative Art, Oil Painting, drawing, drafting,pen..., skiing, Culinary Skills, Ski, Mediation, Illustration
Education
Lewis & Clark Law School 1975 — 1978
JD
Financial Industry Regulatory Authority October 1997 - Present
Gabriel Network 2013 - 2013
NASDAQ 1990 - 1997
Skills
Legal Research, Legal Writing, Westlaw, Securities, Litigation, Lexis, Alternative Dispute..., Corporate Law, Legal Compliance, Litigation Support, Social Media, Microsoft Excel, Management
Education
Liberty University
Master of Arts (M.A.), Professional Counseling, Marriage and Family Therapy
Liberty University
Bachelor of Science (B.S.), Psychology
Liberty University
Professional Certificate, Paralegal Studies
Prince George's Community College
Office Management and Supervision
Aerotek July 2015 - Present
Financial Industry Regulatory Authority (FINRA) May 2014 - August 2014
Marriott International September 2013 - December 2013
Financial Industry Regulatory Authority May 2013 - August 2013
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Customer Service, Research, Teamwork, Social Media, Public Speaking, English, Windows, Event Planning, Time Management
Education
James Madison University 2011 — 2015
Bachelor of Arts (BA), Organizational Communication - Human Resource Development
James Madison University 2011 — 2015
Organizational Communications , Human Resources Development
Morgan Stanley Wealth Management December 2012 - November 2014
JP Morgan Securities August 2011 - November 2011
FINTEGRA FINANCIAL SOLUTIONS February 2010 - October 2010
Financial Industry Regulatory Authority January 2007 - November 2009
Credit Suisse April 2005 - January 2007
Morgan Stanley May 2003 - April 2005
A.G. Edwards September 2001 - January 2002
Skills
Investments, Asset Management, Portfolio Management, Securities, Equities, Mutual Funds, Fixed Income, Hedge Funds, Financial Services, Finance, Derivatives, Options, Series 7, Asset Allocation
Education
Lake Forest College 1999 — 2003
B.A, Business
BB&T May 2014 - Present
BB&T December 2013 - May 2014
BB&T August 2013 - December 2013
BB&T December 2011 - August 2013
BB&T January 2011 - December 2011
Financial Industry Regulatory Authority June 2010 - December 2010
Skills
Banking, Small Business Lending, Financial Analysis, Treasury Services, Home Equity Loans, Debt Consolidation, Branch Management, Merchant Services, Leadership, Credit Cards, Loan Origination, Refinance, Portfolio Management, Underwriting, Deposits, Strategic Financial...
Education
McDaniel College 2006 — 2010
Bachelor's degree, Business Administration and Management, General
Universidad de Salamanca 2010 — 2010
Spanish Language and Literature
Middletown High 2002 — 2006
United States District Court for the Northern District of Illinois March 2015 - Present
Cantwell & Cantwell May 2014 - March 2015
Financial Industry Regulatory Authority August 2013 - May 2014
The Prinz Law Firm, P.C. March 2013 - August 2013
Rick Rosen and Associates December 2012 - August 2013
Cook County Circuit Court (Hon. Jeffrey Lawrence) June 2012 - July 2012
Baked! of Bloomington May 2005 - July 2011
Ben and Jerry's Scoop Shop March 2004 - July 2005
Circuit City 2003 - 2004
Skills
Managerial Experience, Cost Analysis, Market Analysis, Management, Legal Writing, Legal Research, Research, English, PowerPoint, Courts, Litigation, Personal Injury, Motions, Westlaw, Microsoft Office, Lexis, Editing, Constitutional Law, Microsoft Excel, Microsoft Word, Public Speaking, Employment Law, Litigation Support, Civil Litigation, Securities Regulation, Securities Litigation, Cost Benefit
Education
The John Marshall Law School 2011 — 2014
Juris Doctor (J.D.), cum laude
Indiana University Bloomington 2004 — 2008
Bachelor of Science, Management - Entrepreneurship
New Trier High School
Society for Neuroscience September 2015 - Present
James Madison University August 2011 - May 2015
James Madison University August 2013 - September 2014
Financial Industry Regulatory Authority May 2013 - August 2013
ARAMARK January 2013 - May 2013
Skills
Vietnamese, Organization, Event Planning, Leadership, Customer Service, Social Media, Microsoft Word, Microsoft Powerpoint, Interpersonal Leadership, Time Management, Restaurants, Hospitality Management, Public Speaking, Management, Event Management, Hospitality, Training, Access, Research, Customer Satisfaction, Teamwork, PowerPoint, Hotels, TIPS Certified, Microsoft Office, Outlook, Food & Beverage, Cashiering, Sales, Data Entry, Fundraising, Inventory Management, Microsoft Excel, Front Office, Food, Social Media Marketing, Banquets, Social Networking, Menu Development, Cooking, Human Resources, Food Service, Budgets, ServSafe, Phone Etiquette, Marketing, Spanish, Facebook, Catering, Team Leadership
Education
James Madison University 2011 — 2015
Bachelor of Science (B.S.), Hospitality Administration/Management, Senior
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Financial Industry Regulatory Authority June 2014 - February 2015
Financial Industry Regulatory Authority January 2014 - April 2014
Loyola University Chicago Quinlan School of Business May 2013 - January 2014
Skills
Microsoft Excel, Microsoft Word, GAAP, Higher Education, Research, Microsoft Office, PowerPoint, Public Speaking, Bloomberg Software, Finance, Investments, Customer Service, Critical Thinking, Project Management, Close Attention to..., HIPAA, Event Management, Management, Data Analysis, Microsoft Access, Social Media
Education
Loyola University of Chicago 2010 — 2014
Bachelor of Business Administration (BBA), Finance
John Felice Rome Center 2012 — 2012
Bachelor of Business Administration (BBA), Finance
Thompson & Bowie, LLP August 2007 - Present
Financial Industry Regulatory Authority March 1997 - June 2003
T. Rowe Price November 1992 - March 1997
Skills
Personal Injury, Public Liability, Professional Liability, Civil Litigation, Trials, Litigation, Liability
Education
University of Maine School of Law 2003 — 2006
Loyola University Maryland 1988 — 1992
Northern Trust March 2008 - Present
PwC 2006 - 2007
Mercer April 2000 - June 2006
Financial Industry Regulatory Authority 1996 - 2000
Skills
Asset Managment, Asset Allocation, Investment Strategies, Asset Management, Retirement, Investment Advisory, Investments, Alternative Investments, Risk Management, Hedge Funds, Mutual Funds, Fixed Income, Equities, Investment Management, Portfolio Management, Securities, Wealth Management, Morningstar, Capital Markets, Derivatives, Defined Benefit
Education
Illinois Institute of Technology 1996 — 2000
MS, Financial Markets and Trading
Marquette University 1983 — 1987
Bachelor of Science (B.S.), Finance
American Express March 2012 - Present
Financial Industry Regulatory Authority July 2010 - April 2011
NYSE Euronext October 2006 - June 2010
ASCAP August 2003 - September 2006
Alliance Courier & Freight 2002 - 2003
Charles Schwab 1997 - 2001
Skills
Spreadsheets, Financial Statement..., Westlaw, Administration, System Administration, MS Word, Excel &..., LexisNexis, Customer Relations, Legal Writing, Compliance, Client Services, Database Administration, Microsoft Excel
Education
Kaplan University 2008 — 2010
Associate of Applied Science, Paralegal Studies
Financial Industry Regulatory Authority October 2010 - Present
IFC - International Finance Corporation August 2008 - September 2010
IFC - International Finance Corporation January 2007 - July 2008
IFC - International Finance Corporation January 2006 - December 2006
IFC - International Finance Corporation July 2004 - December 2005
IFC - International Finance Corporation September 1999 - June 2004
PtP Solutions May 1999 - August 1999
Russian Credit Bank February 1996 - February 1999
Avicom LLC June 1995 - January 1996
Rusfincom LLC January 1995 - May 1995
Skills
SDLC, Enterprise Architecture, Agile Methodologies, Software Project..., SOA, Requirements Analysis, IT Strategy, Software Development, SQL, Java Enterprise Edition, XML, Web Services, Business Analysis, Unix, Oracle, Microsoft SQL Server, Java, Integration, Data Warehousing, Linux, Agile Project Management, Data Modeling, Solution Architecture, Eclipse, Software Engineering, C#, Tomcat, Hibernate, ITIL, Perl, JavaScript, PMP, ETL, Database Design, Project Management, PL/SQL, Scrum, Databases, WebLogic, Software Design
Education
Moscow State University 1996 — 1999
PhD Program, ABD, Computer Science
Moscow State University 1991 — 1996
Master of Science, Applied Mathematics and Computer Science, Diploma with Honors
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Financial Industry Regulatory Authority August 2012 - Present
Financial Industry Regulatory Authority 2005 - August 2012
NASD (National Association of Securities Dealers, Inc.) April 2003 - December 2005
NASD August 2001 - 2003
Abercrombie and Fitch April 1998 - May 2002
NASD May 2000 - August 2001
Skills
Corporate Governance, Board Relations, Non-profits, Research, Editing, Event Management, PowerPoint, Securities Market, Financial Industry, Microsoft Office, Project Management, Minutes, Compensations, Annual Meetings, Senior Management..., Records Management, Information Security, Public Relations, Strategic Communications, Marketing, Event Planning, Social Media, Collaboration, Financial Services, Nonprofits, Securities, Advertising, Series 7, Strategic Planning, Management
Education
Marietta College 2000 — 2003
BA, Advertising and Public Relations
University of Maryland College Park 1998 — 2002
Sidwell Friends 1994 — 1998
Diploma, General Studies
21st Century Digital ® May 1996 - Present
21st Century Digital ® May 1996 - Present
Experience in: Legal/Compliance• Financial Services• Intellectual Property 2011 - April 2014
Macquarie Bank January 2009 - May 2009
New York County Lawyers Association 2009 - 2009
New York State Unified Court System January 2008 - May 2008
Financial Industry Regulatory Authority August 2007 - December 2007
Bear Stearns August 2005 - August 2006
Skills
General Administrative..., General Office Skills, Computer Proficiency, Legal Research, Microsoft Office, Office Administration, General Operations, Adobe, Trademarks, Analysis, Research, Intellectual Property, Banking Law, Creativity, Carpentry, Labor, Travel, Fitness, Trials, Corporate Governance, Appeals, AML, Civil Litigation, Due Diligence, Management, Legal Writing, Leadership, Litigation
Education
New York University - Leonard N. Stern School of Business 2009 — 2011
Masters of Business Administration, General Management
New York Law School 2006 — 2009
Juris Doctorate, Legal/Compliance, Financial Services, IP, Telecom
LIU Brooklyn 1991 — 1991
United Nations
Marriott International March 2015 - Present
Deloitte Consulting March 2014 - March 2015
Financial Industry Regulatory Authority July 2002 - November 2013
SAIC February 2002 - July 2002
VITAL Computer Service International November 2000 - February 2002
FutureNext Consulting November 1999 - November 2000
NASDAQ / NASD August 1991 - November 1999
Skills
Software Project..., SDLC, Requirements Analysis, PMO, Agile Project Management, Integration, Data Warehousing, Big Data, Project Management, MS Project, Financial Services, ETL, Data Modeling, Oracle, Business Intelligence, Database Design, Databases
Education
The University of Connecticut
BS
Hood College
Master of Science (MS)
Shady Grove Fertility May 2014 - Present
Financial Industry Regulatory Authority October 2013 - May 2014
Childtime Learning Center October 2011 - October 2013
Best Buy June 2009 - October 2011
Skills
Microsoft Office, PowerPoint, Time Management, Microsoft Excel, Training, Customer Service, Leadership, Microsoft Word, Outlook, Leadership Development, Data Entry, Public Speaking, Staff Development, Teaching
Education
University of Maryland Baltimore County 2011 — 2013
Bachelor of Arts (BA), Psychology
Hood College 2008 — 2010
Psychology
Loop Capital Markets November 2014 - Present
Financial Industry Regulatory Authority January 2013 - November 2014
Federal Tax Clinic at Loyola University School of Law January 2012 - July 2012
Constantine G. Kaloudis June 2010 - July 2012
TCF National Bank November 2006 - August 2009
Skills
Legal Writing, Legal Research, Dispute Resolution, Westlaw, Management, Financial Regulation, Compliance Regulations, Risk Management, Fraud Detection, Securities Regulation, Legal Issues
Education
Loyola University Chicago School of Law 2010 — 2012
Loyola University Chicago Graduate School of Business 2011 — 2013
Masters, Business Administration
Citigroup Global Markets, Inc. January 2014 - Present
Financial Industry Regulatory Authority October 2011 - January 2014
Lincoln Educational Services August 2009 - October 2011
Skills
Options, Trading, Equity Derivatives, Equities, Management, Marketing, Public Speaking, Analysis, Market Making, Securities, Risk Management
Education
Baruch College 2012 — 2016
Master of Business Administration (M.B.A.), Finance and Financial Management Services
Marist College 2005 — 2009
B.S., Business Administration - Finance
Mitico, LLC November 2013 - Present
Mitico, LLC December 2010 - November 2013
US Embassy Santo Domingo, Dominican Republic, Foreign Commercial Service July 2013 - August 2013
Financial Industry Regulatory Authority May 2013 - July 2013
Saint Louis University School of Law June 2012 - January 2013
Internal Revenue Service August 2012 - December 2012
United States District Court for the Eastern District of Missouri January 2012 - May 2012
United States District Court for the Eastern District of Missouri June 2011 - August 2011
Department of the Army January 2010 - July 2010
Skills
Customer Service, Training, Legal Writing, Research, Public Speaking, Budgets, Leadership, Finance, Analysis, Legal Research, Financial Analysis, Westlaw, Lexis, PowerPoint, Microsoft Office, Policy, Litigation, Management, Appeals, Securities Regulation, Negotiation, LexisNexis
Education
Saint Louis University John Cook School of Business 2012 — 2013
Master of Business Administration (MBA), Finance
Saint Louis University School of Law 2010 — 2013
JD, Business Transactions and Taxation Concentrations
Army Logistics University 2010 — 2010
Certificate of Completion, Logistics, Materials, and Supply Chain Management
University of Alabama at Birmingham 2007 — 2009
B.S., Business Management
Jefferson State Community College 2006 — 2007
A.S., Business Administration
HC Technologies March 2014 - Present
CBOE Futures Exchange August 2013 - Present
CBOE Futures Exchange November 2012 - August 2013
Financial Industry Regulatory Authority January 2013 - May 2013
Circuit Court of Cook County - Chancery Division August 2012 - December 2012
Messer & Stilp, Ltd. April 2011 - November 2012
Trilateral, Inc. May 2008 - April 2011
Skills
Financial Regulation, Futures Regulation, SEC regulations, CFTC Regulations, Commercial Litigation, Civil Litigation, Finance, Legal Research, Legal Writing, Financial Risk, Financial Analysis, Analysis, Options, Securities, Securities Regulation, Financial Services, SEC Regulations, FINRA, Microsoft Excel, Microsoft Office, Trading, Management, Sales
Education
Loyola University Chicago School of Law 2010 — 2013
Doctor of Law (JD)
Loyola University of Chicago - Graduate School of Business 2011 — 2014
Master of Business Administration (M.B.A.)
Indiana University Bloomington 2006 — 2010
Economics, Business/Managerial Economics
Financial Industry Regulatory Authority January 2014 - Present
Neal, Gerber & Eisenberg LLP July 1999 - December 2013
Henderson & Lyman March 1997 - July 1999
Skills
Commercial Litigation, Securities Litigation, Financial Regulation, Securities Regulation, Legal Compliance, Risk Management, Client Counseling, Arbitration, Alternative Dispute..., Investigation, Litigation, Civil Litigation, Securities, Class Actions
Education
Loyola University Chicago School of Law 1993 — 1996
J.D.
Loyola University of Chicago 1989 — 1993
B.A., Political Science
Financial Industry Regulatory Authority August 2007 - Present
Howard Univesity School of Law September 2006 - May 2007
US Securities and Exchange Commission February 2007 - April 2007
D.C. Office of the Attorney General January 2006 - July 2006
Hogan & Hartson June 2005 - August 2005
International Paper July 2002 - August 2004
Skills
Financial Reporting, Accounting, Litigation, Capital Markets, Financial Analysis, Securities Regulation, Finance
Education
Howard University School of Law 2004 — 2007
JD, Law
Howard University 1998 — 2002
BBA, International Business-Finance
Morgan Stanley July 2015 - Present
Financial Industry Regulatory Authority October 2012 - July 2015
Genova Burns Giantomasi & Webster July 2010 - September 2012
Coughlin Duffy January 2007 - July 2010
Union County Prosecutor's Office August 2005 - January 2007
Skills
Securities Act of 1933;..., AML, Commercial Litigation, Government, Litigation, Securities Regulation, Criminal Law, Appeals, Legal Research, Management, Civil Litigation, Legal Writing, FINRA, Private Investigations
Education
Seton Hall University School of Law 2002 — 2005
Juris Doctor, Law
Loyola University Maryland 1998 — 2002
B.A.
Seton Hall Prepatory School 1994 — 1998
High School Diploma
Financial Industry Regulatory Authority November 2012 - Present
ApexCovantage June 2010 - November 2012
Well Point 2007 - May 2010
InterKnowlogy April 2006 - April 2007
Skills
Microsoft SQL Server
Education
Jawaharlal Nehru Technological University 1998 — 2002
BTech, Electronics and Computer Engg
Katten Muchin Rosenman LLP April 2012 - Present
U.S. District Court for the District of New Jersey September 2010 - May 2011
Financial Industry Regulatory Authority June 2010 - August 2010
U.S. District Court for the District of New Jersey June 2009 - August 2009
Dewey & LeBoeuf LLP May 2006 - August 2008
Skills
Legal Research, Legal Writing, Commercial Litigation, Appeals
Education
Seton Hall University School of Law 2008 — 2011
Juris Doctor, Law
Illinois State University 1998 — 2002
Bachelor of Arts, English
KPMG October 2014 - Present
KPMG October 2013 - September 2014
Financial Industry Regulatory Authority June 2012 - September 2013
George Washington University August 2010 - May 2012
Capitol Partners, LLC September 2011 - December 2011
Charles Schwab June 2011 - August 2011
Vanguard March 2009 - July 2010
Vanguard January 2008 - March 2009
Northern Arizona University January 2007 - May 2007
Skills
Fixed Income, Bloomberg, Financial Markets, Equities, Microsoft Excel, Capital Markets, Investments, Microsoft Office, Bonds, Securities, PowerPoint, Risk Management, Analysis, Trading, Private Equity, Budgeting, Bloomberg Terminal, Series 7, Economics, Series 63, Asset Allocation, Project Management, Competitive Analysis, Financial Risk, Financial Modeling, Lotus Notes, Thomson One, Windows, Mac, Administration, PeopleSoft, Adobe Acrobat, Scheduling, Research Project..., Multimedia Project..., Teamwork, Time Management, Client Service, Microsoft Word, AML, Fraud, Finance, Investigation, Due Diligence, Anti Money Laundering, Budgets, Client Services
Education
The George Washington University - School of Business 2010 — 2012
MBA, International Finance
Northern Arizona University 2003 — 2007
BSBA, Finance
Northern Arizona University 2003 — 2007
BS, Electronic Media & Film
Högskolan i Jönköping 2006 — 2006
International Business
NYC Fire Department, Legal Affairs July 2015 - Present
God is a Brown Girl Too April 2009 - Present
SPIRITMUV September 2007 - Present
New York Theological Seminary May 2007 - Present
American Arbitration Association January 2006 - Present
Myrtle Tree Press January 2002 - Present
Financial Industry Regulatory Authority January 1992 - Present
Small Claims Court January 1992 - Present
NYC Commission on Human Rights January 2013 - July 2015
City of New York January 2012 - December 2012
Skills
Litigation, Mediation, Public Speaking, Legal Research, Legal Writing, Non-profits, Arbitration, Civil Litigation, Intellectual Property, Corporate Law, Legal Assistance, Litigation Support, Appeals, Nonprofits, Leadership, Conflict Resolution, Alternative Dispute..., Hearings, Trials, Dispute Resolution, Depositions, Theology, Torts, Fundraising, Commercial Litigation, Dispute, Blogging, Courts, Employment Law, Human Rights, Copyright Law, Securities Regulation, Corporate Governance, Product Liability, Trademarks, Immigration Law, Document Review, Trade Secrets, Legal Compliance, Coaching, Newsletters
Education
New York Theological Seminary 2003 — 2007
MDiv, Theology and Ministry
New York University School of Law 1982 — 1985
Juris Doctor, Law
University of California, Los Angeles 1980 — 1982
MFA, Theater Management
Howard University 1976 — 1980
BFA, Theater Management
EPAM Systems June 2013 - Present
Semiretired July 2012 - June 2013
FINRA May 2005 - July 2012
Financial Industry Regulatory Authority June 2009 - June 2012
FINRA - Financial Industry Regulatory Authority 2004 - June 2012
Microstrategy 2000 - 2002
Geico 1997 - 2000
NetBalance 1997 - 1998
PB Farradyne 1996 - 1997
Cable and Wireless 1995 - 1996
Skills
Software Development, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Cloud Computing, SDLC, XML, SQL, Business Intelligence, Java Enterprise Edition, Databases, Software Design, ETL, Web Services, Java, Linux, Oracle, Tomcat, Hibernate, Database Design, Unix, Software Project..., Solution Architecture, Big Data, Requirements Analysis, Enterprise Software, Perl, System Architecture, Ant, Architecture, Integration, Data Modeling, IT Strategy, Weblogic, Agile Project Management, UML, Unix Shell Scripting, Distributed Systems, PL/SQL, Scrum, Web Applications, Architectures, Data Integration, Solaris, Object Oriented Design, JMS, Spring, DB2, Application Architecture
Education
Lomonosov Moscow State University (MSU) 1982 — 1984
PhD, Computer Science
National University of Science and Technology "MISIS" (Moscow Institute of Steel and Alloys) 1970 — 1976
Master, Physics
Vedder Price, P.C. May 2012 - Present
Kopecky, Schumacher & Bleakley, P.C. February 2010 - May 2012
Financial Industry Regulatory Authority August 2009 - April 2010
United States Securities and Exchange Commission May 2009 - July 2009
The Honorable Ronald J. Guzman, United States District Court for the Northern District of Illinois January 2009 - May 2009
Skills
Litigation, Legal Research, Civil Litigation, Securities Regulation, Commercial Litigation, Legal Writing, Arbitration, Westlaw, Courts, Securities Litigation, Torts, Medical Malpractice, Trial Practice, Trademark Infringement, Banking Law, Civil Rights, Licensing, Litigation Support, Legal Issues, Securities, Lexis, Trials, Corporate Law, Criminal Law, FINRA, Product Liability, Corporate Governance, Motions, White Collar Criminal..., Legal Assistance, Internal Investigations
Education
Loyola University Chicago School of Law 2007 — 2010
Juris Doctor, Certificate in Tax
Miami University 2003 — 2006
Bachelor of Arts, Political Science and History
Integrated Project Management Company, Inc. 2014 - Present
Gordon & Rees LLP September 2012 - November 2013
Gordon & Rees LLP October 2011 - September 2012
Illinois Department of Financial and Professional Regulation June 2011 - September 2011
Financial Industry Regulatory Authority May 2011 - August 2011
McDonald's Corporation July 2008 - June 2010
Skills
Legal Research, Commercial Litigation, Employment Law, Legal Writing, Research, Mediation, Intellectual Property, Corporate Law, Civil Litigation, Microsoft Excel, Courts, Licensing, Westlaw, Litigation, Motions, Legal Issues
Education
Loyola University Chicago School of Law 2009 — 2012
J.D, Law
Quinlan School of Business, Loyola University Chicago 2007 — 2008
MBA, Economics
Loyola University Chicago 2002 — 2007
BBA, Economics & Marketing
Financial Industry Regulatory Authority August 2012 - Present
US Securities and Exchange Commission January 2012 - April 2012
National Association of Federal Credit Unions May 2011 - July 2011
Insurance Management Company June 2009 - July 2009
Erie Yacht Club 2006 - 2008
Skills
Securities Regulation, Data Analysis
Education
The Catholic University of America 2009 — 2012
Doctor of Law (JD), Investments and Securities
John Carroll University 2005 — 2009
Bachelor of Science (B.S.), Economics
Cathedral Prep 2001 — 2005
Financial Industry Regulatory Authority (FINRA) November 2014 - Present
Financial Industry Regulatory Authority March 2014 - Present
Financial Industry Regulatory Authority (FINRA) August 2008 - March 2014
KPMG March 2011 - September 2011
KPMG January 2007 - June 2007
Skills
Accounting, Securities, Financial Reporting, Financial Analysis, Investments, AML, US GAAP, SEC filings, Due Diligence, Financial Accounting, FINRA, Series 7, Equities, Capital Markets, SEC, Finance, Financial Risk, SEC Filings, Anti Money Laundering
Education
La Salle University 2015 — 2018
Master of Science (M.S.) Economic Crime Forensics
La Salle University - School of Business Administration 2004 — 2008
BSBA, Accounting, Maxima cum laude
Gwynedd Mercy Academy High School 1994 — 1998
Colorado Division of Securities January 2015 - Present
Colorado Division of Securities November 2013 - January 2015
Financial Industry Regulatory Authority January 2013 - May 2013
Gaebe, Mullen, Antonelli & DiMatteo May 2012 - May 2013
University of Miami School of Law, Office of Student Recruitment May 2011 - May 2012
Precise Advisory Group August 2010 - December 2010
Skills
Legal Research, Legal Writing, Westlaw, Public Speaking, PowerPoint, Microsoft Office, Microsoft Word, Microsoft Excel, Community Outreach, Higher Education, Time Management, Leadership, Outlook, Investment Advisers Act
Education
University of Miami School of Law 2009 — 2013
Juris Doctor, cum laude
University of Miami School of Business 2011 — 2013
Master of Business Administration
Metropolitan State College of Denver 2006 — 2008
Bachelor of Science, Criminal Justice, summa cum laude
Northeastern Junior College 2005 — 2006
Associate of Arts, Criminal Justice
Gusrae Kaplan Nusbaum PLLC February 2014 - Present
Financial Industry Regulatory Authority May 2012 - August 2012
Syracuse University Bankruptcy Clinic August 2011 - May 2012
United States Department of Justice, Office of the U.S. Trustee May 2011 - August 2011
AIG Advisor Group July 2008 - July 2010
UBS Global Wealth Management January 2008 - May 2008
Skills
Legal Research, Litigation, Securities, Trials, Estate Planning, Bankruptcy, Analysis, Financial Services, Finance, Hearings, Portfolio Management, Securities Regulation, Legal Writing, Research, Westlaw
Education
Syracuse University College of Law 2010 — 2013
Doctor of Law (J.D.)
Marist College 2004 — 2008
BS, Finance
JPMorgan Chase March 2014 - Present
Financial Industry Regulatory Authority May 2013 - March 2014
National Futures Association June 2011 - May 2013
Morgan Stanley Smith Barney May 2009 - September 2009
U.S Congresswomen Sue Kelly January 2006 - August 2007
Skills
Financial Analysis, Financial Reporting, PowerPoint, Due Diligence, Customer Service, Microsoft Office, Access, Strategic Planning, Microsoft Excel, Accounting, Auditing, Data Analysis, Internal Controls, Financial Risk, Internal Audit, Analysis, Finance, Risk Management
Education
Iona College 2014 — 2015
Master of Business Administration (M.B.A.), Business Administration and Management, General, 3.89/4.0
Michigan State University 2007 — 2011
B.A, Finance, International Business
University of Cambridge 2010 — 2010
Finance
Amazon 2014 - Present
Amazon 2013 - 2014
Amazon 2012 - 2013
Target 2011 - 2012
Target June 2010 - August 2010
Financial Industry Regulatory Authority May 2009 - August 2009
American Bankers Association January 2009 - May 2009
Skills
Highly Adaptable, Business Analysis, Problem Solving, Collaborative Leadership, Multi-channel Retail, Creative Strategy, Vendor Management, Procurement, Inventory Management, Inventory Analysis, Supplier Management, Supply Management, Forecasting, Fashion, Management, Apparel, Global Sourcing, Merchandising
Education
Indiana University - Kelley School of Business 2013 — 2015
Master of Business Administration (M.B.A.)
The George Washington University - School of Business 2007 — 2011
Bachelor of Business Administration (BBA), Finance, International Business
Institut d'Etudes politiques de Paris / Sciences Po Paris 2009 — 2010
International Business
KMS Soft, LLC January 2015 - Present
U.S. Customs and Border Protection August 2014 - January 2015
Elsevier October 2013 - June 2014
Financial Industry Regulatory Authority October 2009 - October 2013
Deepmile Technologies March 2009 - October 2009
Global Consulting Group Inc. March 2006 - February 2009
Deutsche Bank July 2004 - February 2006
Oilspace Inc. November 2002 - July 2004
Argussoft July 1998 - October 2002
Skills
Java, Spring, Web Services, Java Enterprise Edition, XML, Software Development, SOA, OOP, Hibernate, Maven, JMS, SQL, Agile Methodologies, jQuery, Database Design, JDBC, JavaScript, AJAX, Object Oriented Design, Requirements Analysis, Servlets, Subversion, Oracle, JUnit, Ant, Design Patterns, Tomcat, Unix, XSLT, JBoss Application Server, SOAP, REST, Test Driven Development, Programming, Software Design, Eclipse, EJB, PL/SQL, UML, WCF, JSP, Scrum, Multithreading, Weblogic, Unix Shell Scripting, GWT
Education
Московский Государственный Университет им. М.В. Ломоносова (МГУ) / Lomonosov Moscow State University (MSU) 1993 — 1998
Bachelor of Science
Financial Industry Regulatory Authority May 2014 - Present
Abbey Spanier, LLP October 2001 - May 2014
Skills
Class Action, Securities, Mergers, Litigation, Finance, Securities Exchange Act..., Securities Litigation, Securities Fraud, Class Actions, Capital Markets, Mergers & Acquisitions
Education
New York University - Leonard N. Stern School of Business 2008 — 2010
MBA, Finance
New York Law School 1999 — 2001
JD, Law
Lehigh University 1992 — 1996
B.S., Business & Economics
Cold Spring Harbor High School 1986 — 1992
ISS Institutional Shareholder Services January 2015 - Present
Morgan Stanley Wealth Management September 2013 - December 2014
Financial Industry Regulatory Authority December 2011 - August 2013
Financial Industry Regulatory Authority August 2010 - November 2011
Wells Fargo Corporate Trust December 2008 - August 2010
Wells Fargo Home Mortgage July 2007 - December 2008
Skills
Financial Risk, Securities, Compliance, Analysis, FINRA, Access, Internal Controls, AML, Investments, Mutual Funds, Microsoft Excel, Financial Services, Financial Regulation, Fixed Income, Equities, Capital Markets, Securities Regulation, Options, Due Diligence, Equity Trading, KYC, Bonds, Risk Management, Finance, OFAC, Broker-Dealer, Bank Secrecy Act, MBS, Alternative Investments, Fraud, Financial Markets, Financial Institutions, USA PATRIOT Act, SEC, Dodd-Frank, Investment Advisory, Series 24, Series 7, Wealth Management
Education
Iowa State University 2003 — 2007
Bachelor of Science, Finance
Grant Thornton LLP March 2015 - Present
Financial Industry Regulatory Authority June 2013 - March 2015
Grant Thornton August 2007 - June 2013
Grant Thornton LLP 2006 - 2007
Skills
SEC filings, US GAAP, GAAP, Internal Controls, Auditing, Sarbanes-Oxley Act, Financial Reporting, Accounting, Financial Accounting, Financial Statements, Sarbanes-Oxley, Assurance, Internal Audit, Revenue Recognition, SEC Filings, Private Equity, Financial Services, Valuation, Hedge Funds
Education
Hofstra University 2003 — 2006
Bachelor of Business Administration (BBA), Accounting
Bankers Life Securities, Inc November 2014 - Present
Crown Sterling LLC November 2013 - November 2014
BMO Harris Financial Advisors August 2005 - October 2013
Harrisdirect LLC March 2002 - August 2005
IAC Securities and First Variable Life Insurance Company March 2000 - March 2002
Metropolitan Life Insurance Company October 1995 - March 2000
Financial Industry Regulatory Authority October 1987 - October 1995
Skills
AML, Auditing, Asset Management, Coaching, FINRA, Financial Services, Investments, Mutual Funds, Risk Management, Securities, Series 7, Banking, Credit, Financial Regulation, Financial Risk, Public Speaking, Strategic Financial..., Anti Money Laundering
Education
Illinois State University
Bachelor of Science, Accounting
Financial Industry Regulatory Authority December 1986 - Present
FINRA 1986 - Present
NASD/FINRA-Dist #10 NY 1986 - Present
Skills
Securities, Broker-Dealer, Securities Regulation, FINRA, Equities, Financial Regulation, Financial Services, Mutual Funds, SEC, Series 24, Series 7
Education
Long Island University 2000 — 2001
MLS, Library and Information Science
Pace University - Lubin School of Business 1979 — 1986
Financial Industry Regulatory Authority April 2012 - Present
NextEra Energy Resources June 2010 - March 2012
Miami Dade College January 2008 - June 2010
U.S. Office of Personnel Management October 2003 - January 2008
Old Dominion University August 2004 - December 2006
Miami University August 2001 - August 2003
Skills
Statistics, Psychology, Research, Talent Assessment, Job Analysis, Succession Planning, Performance Management, Data Analysis, Survey Design, Leadership Development, Program Evaluation, Talent Management, Standard Setting, Development Of Employees, Organizational Culture, Program Management, Project Management, Leadership, Human Resources, Organizational..., Training, Interviews, Organizational...
Education
Old Dominion University 2004 — 2008
Ph.D., Industrial and Organizational Psychology
The George Washington University 2003 — 2004
M.A., Organizational Management
Miami University 2001 — 2003
M.S., Sport Psychology
University of Florida 1997 — 2001
B.S., Psychology
PwC April 2012 - Present
Financial Industry Regulatory Authority February 2012 - April 2012
Aristeia Capital March 2008 - November 2011
Banc of America Securities January 2007 - March 2008
UC Santa Barbara September 2003 - December 2006
University of Washington September 2000 - August 2003
Skills
Physics, Quantitative Finance, Monte Carlo Simulation, Time Series Analysis, Matlab, Quantitative Analysis, Numerical Analysis, Fixed Income, Statistics, Mathematics, Econometrics, Probability, Statistical Modeling, Quant, Financial Modeling, Quantitative Research, SQL, Risk Management, C++, Java, Python, Quantitative Analytics, Quantitative Investing, R, Valuation, Interest Rate..., Derivatives, Credit Derivatives, Financial Risk, VBA, Portfolio Optimization, Bloomberg, Equity Derivatives, FX Options, Options, Hedging, Hedge Funds
Education
University of Maryland College Park 1994 — 2000
PhD, Chemical Physics
Московский Государственный Университет им. М.В. Ломоносова (МГУ) / Lomonosov Moscow State University (MSU) 1989 — 1994
MS, Chemistry, summa cum laude
Financial Industry Regulatory Authority January 2012 - Present
Financial Industry Regulatory Authority January 2008 - December 2011
FINRA August 1999 - December 2007
Education
Howard University School of Law 1995 — 1998
J.D., Law
Morehouse College 1991 — 1995
Bostonia Global Securities October 2014 - Present
Wells Fargo Securities 1995 - 2012
Hornor, Townsend & Kent, Inc 1994 - 1995
Financial Industry Regulatory Authority 1987 - 1994
Skills
Compliance, Compliance Training, Regulatory Examinations, Compliance Procedures, Broker-Dealer Compliance, Risk Management, FINRA, Investments, Banking, Fixed Income, Capital Markets, Equities, Financial Risk, Derivatives, Securities, Mergers & Acquisitions, Investment Banking, Mutual Funds
Education
Wharton School, University of Pennsylvania
Securities Industry Institute
La Salle University
Master of Business Administration (MBA), Finance, General
West Chester University of Pennsylvania
Bachelor of Science (BS), Economics
Financial Industry Regulatory Authority February 2012 - Present
Agile Concepts 2009 - Present
ING 2011 - 2011
City of Philadelphia 2010 - 2011
Verizon Business 2009 - 2010
Tata Consultancy Services 2009 - 2009
Avanade, Inc. 2008 - 2009
AIG American General 2008 - 2008
Keane 2006 - 2008
Morgan Stanley Investment Management 2006 - 2008
Skills
Microsoft Exchange, Blackberry Enterprise..., Good for Enterprise..., Messaging, Windows Server, Active Directory, VMware, SharePoint, DNS, DHCP, IIS, ITIL, Unified Communications, Microsoft SQL Server, Designing, Unified Messaging, Finance, Government, Investments, SCOM, ISA, WINS, NetIQ AppManager, Cisco IP Telephony..., MOM, NetIQ
Education
Jahangirnagar University 1982 — 1984
Master of Science, Statistics
Jahangirnagar University 1978 — 1982
Bachelor of Science with Honors, Statistics, Mathematics, Economics
RightAnswers, Inc. October 2012 - Present
Financial Industry Regulatory Authority May 2011 - October 2012
Federal Reserve Bank of New York August 2010 - September 2011
LexisNexis June 2007 - July 2010
Conde Nast March 2006 - May 2007
New Jersey Manufacturers Insurance group October 2006 - March 2007
Skills
Software Quality..., Oracle, Testing, Quality Center, Microsoft SQL Server, SDLC, Project Management, Test Planning, Manual Testing, Business Analysis, User Acceptance Testing, Quality Assurance, Requirements Analysis, Test Automation, Regression Testing, Agile Methodologies, QTP
Education
Kakatiya University 1997 — 2000
Cleary Gottlieb Steen & Hamilton LLP February 2013 - Present
Adventist University of Health Sciences October 2010 - Present
Round Table Group January 2007 - March 2010
Financial Industry Regulatory Authority August 2005 - December 2006
Skills
Research, Legal Writing, Editing, International Relations, Intellectual Property, Litigation, Data Analysis, Blogging, Copy Editing, Due Diligence, Community Outreach, Litigation Support, Licensing, Mediation
Education
Howard University School of Law 2000 — 2003
Doctor of Law (J.D.)
The Ohio State University 1999 — 2000
M.A., Journalism
Oakwood College 1995 — 1999
Bachelor of Arts (B.A.), Communications
Financial Industry Regulatory Authority May 2012 - Present
RBC Capital Markets February 2004 - December 2011
Barclays Capital June 2009 - February 2010
Financial Industry Regulatory Authority March 1998 - March 2004
Skills
Securities, OFAC, Series 7, Capital Markets, FINRA, Financial Risk, AML, Equities, Risk Management, Internal Audit, Hedge Funds, Financial Services, Options, Fixed Income, Market Risk, Anti Money Laundering
Education
Hofstra University 1986 — 1991
Bachelor of Business Administration (B.B.A.), Banking and Finance
CME Group September 2014 - Present
Financial Industry Regulatory Authority July 2013 - September 2014
State of Missouri, Securities Division January 2012 - June 2013
Edward Jones October 2007 - December 2011
Turnaround Solutions for Senior Housing 2004 - 2007
Skills
Legal Compliance, Auditing, Legal Writing, Investment Advisor..., Compliance, Securities Regulation, Securities, Analysis, Corporate Governance, Dodd-Frank, Legal Research, Corporate Finance, Securites Regulation, Securities Litigation, Missouri Securities Act, Securities act of 1933, Market Regulation, Financial Services, Mutual Funds, FINRA, Risk Management, Finance
Education
Saint Louis University School of Law 2003 — 2007
J.D., Law/Health Law
Illinois Wesleyan University 1998 — 2002
B.A., International Business and Spanish
Estrella Mountain Community College January 2014 - Present
Financial Industry Regulatory Authority February 1997 - Present
Arizona Coyotes Hockey Club February 2015 - Present
Vanguard October 2013 - December 2014
United States Postal Service October 2007 - December 2010
Windsor Mortgage Corporation May 2007 - December 2010
Investment Advisors International September 2007 - September 2010
Riverside County Superior Court July 2006 - July 2009
Alliance Bancorp December 2006 - April 2007
Gold Coast Securities July 2005 - September 2006
Skills
Estate Planning, Business Continuity..., Strategic Planning, Budgets, Public Speaking, Investments, Coaching, Asset Managment, Retirement Planning, Change Management, Wealth Management, Leadership Development, Strategic Financial..., Business Analysis, Retirement, Portfolio Management, Mutual Funds, Investment Advisory, Asset Allocation, Investment Strategies, Transformative Mediation, Facilitative Mediation, Evaluative Mediation, Arbitration, Expungement, Training, Strategy, Asset Management, Leadership, Analysis, Business Development, Finance, Financial Services, Mediation, Securities, Insurance, Loans, Mergers & Acquisitions, Financial Planning, Management, Event Planning, Customer Service, Marketing, Fundraising
Education
Point Loma Nazarene University 2009 — 2012
Master of Arts (MA), Education And Teaching
Jackson State University 1979 — 1985
Bachelor of Applied Science (B.A.Sc.), Industrial Management
Evanston Township High School 1975 — 1979
Financial Industry Regulatory Authority July 2007 - Present
New York Stock Exchange June 2006 - Present
Skills
AML, Financial Analysis, Management, Social Media
Education
Lehigh University - College of Business and Economics 2002 — 2006
Financial Industry Regulatory Authority March 2010 - Present
Financial Industry Regulatory Authority June 2006 - March 2010
Law Office of Judy Feinberg March 2005 - June 2006
Law Corps October 2003 - March 2005
National Association of Securities Dealers May 2002 - August 2002
Skills
FINRA, Legal, Compliance
Education
Washington University in St. Louis 2000 — 2003
Juris Doctor (J.D.)
James Madison University
Bachelor's Degree, History
Financial Industry Regulatory Authority July 2013 - Present
Goldman Sachs January 2006 - July 2013
AllianceBernstein June 2001 - December 2005
Skills
Hedge Funds, Bloomberg, Asset Managment, Fixed Income, Equities, Series 63, Series 7, Series 3, Alternative Investments, Asset Management, Capital Markets, Credit Derivatives, Derivatives, FINRA, Middle Office, Investments, Investment Banking, Options, Securities, Trading, Valuation
Education
Mercy College 2010 — 2013
Masters, School Counseling
University of Rochester 1997 — 2001
BA, Economics
Ardsley High School
US Department of Transportation (DOT) October 2014 - Present
U.S. Department of Education April 2010 - October 2014
U.S. Secret Service May 2006 - April 2010
Global Network Systems February 2004 - May 2006
Dynamics Research (Formerly Impact Innovations Group) June 2003 - February 2004
Federal Technology Corporation September 2002 - June 2003
Evolvent March 2002 - September 2002
Financial Industry Regulatory Authority July 2000 - October 2001
Financial Industry Regulatory Authority October 1999 - July 2000
Financial Industry Regulatory Authority September 1998 - October 1999
Skills
Information Security, Computer Security, Security, Information Assurance, FISMA, CISSP, Security Policy, Application Security, Governance, Information Security..., Vulnerability Assessment, Security Management, Vulnerability Management, CISM, Computer Forensics, DoD, ISO 27001, Strategic Planning, Project Management, IDS, Risk Management, Security Audits, Security Architecture..., Identity Management, Data Security, CISA, IT Security Policies, Security Policy..., Information Security..., Compliance, Data Center, Program Management, Enterprise Architecture, NIST, Policy, Business Continuity, C&A, Security Awareness, IT Audit, SharePoint, Network Security, Intrusion Detection, Disaster Recovery, Privacy Law, Security+, Information Technology, Information Assurance..., Information Security..., Contract Management, PCI DSS
Education
Montgomery College 1992 — 1994
Howard University 1988 — 1990
Norwalk Community College 1986 — 1988
Northern Trust Company April 2001 - Present
ABN AMRO Bank N.V. April 1999 - April 2001
Financial Industry Regulatory Authority February 1995 - March 1999
Skills
Internal Audit, Project Management, Basel II Compliance, Brokerage Compliance, Banking, Internal Controls, Auditing, Financial Risk, Management, Financial Services, Basel II, Analysis
Education
Illinois Institute of Technology
BBA and MBA, Business Administration
Bank of America October 2010 - Present
Financial Industry Regulatory Authority November 2008 - October 2010
Lehman Brothers February 2008 - November 2008
Morgan Stanley February 2007 - January 2008
Lehman Brothers September 2004 - February 2007
Deutsche Bank October 2003 - August 2004
Neuberger Berman July 1995 - September 2003
Education
Iona College
BBS, Finance
Financial Industry Regulatory Authority April 2009 - Present
FINRA (Legacy NYSE) April 2007 - February 2009
New York Stock Exchange September 2005 - April 2007
New York Stock Exchange April 2004 - September 2005
Fidelity August 2001 - April 2004
Education
Hofstra University 1997 — 2001
BBA, Finance
Financial Industry Regulatory Authority August 1999 - Present
Education
Indian Institute of Science
Ph.D
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Financial Industry Regulatory Authority February 2013 - Present
Skills
Securities, Equities, Mutual Funds, FINRA, Series 7, Investments, AML, Fixed Income, Securities Regulation, Financial Regulation, SEC, Internal Controls, Accounting, Strategic Planning, Financial Accounting, Series 24, Financial Markets, Fraud
Education
University of Pennsylvania - The Wharton School
CRCP Program - FINRA Institute at Wharton
Keller Graduate School of Management of DeVry University
Masters in Accounting and Financial Management
Illinois State University 1992 — 1994
BS
THE SANTILLO LAW FIRM,PLLC June 2014 - Present
Financial Industry Regulatory Authority March 2009 - Present
Keith R. Santillo, Attorney At Law March 2009 - June 2014
Todd A. Zuckerbrod, P.A. January 2014 - May 2014
Santillo & Ferreira, P.C. May 2000 - December 2011
Dean Witter Reynolds, Inc. February 1986 - December 1989
American International Group December 1982 - August 1985
Skills
Securities Litigation, Securities, Arbitration, Legal Research, Courts, Civil Litigation, Commercial Litigation, Dispute Resolution, Legal Writing, Corporate Law, Class Actions, Alternative Dispute..., FINRA, SEC, Trials, Torts, Legal Compliance, Trial Practice, Hearings, Litigation Support
Education
Benjamin N. Cardozo School of Law, Yeshiva University
J.D., Law
Long Island University, C.W. Post Campus
B.S. Cum Laude - Business Administration, Finance and Economics
Financial Industry Regulatory Authority March 2014 - Present
Financial Industry Regulatory Authority December 2012 - March 2014
Morgan Stanley June 2009 - December 2012
FINRA (formerly NYSE Regulation) July 2005 - May 2009
Northwestern Mutual September 2003 - May 2005
Skills
Risk Assessment/Audit..., Problem Resolution, Team Leadership &..., Personal Adaptability, Financial Analysis, Series 7, Financial Risk, Auditing
Education
Cornell Hospitality School 2012 — 2013
Certificate in Hospitality Management
Manhattan College
Bachelor of Science (BS), Finance & Management
Financial Industry Regulatory Authority September 2010 - Present
Open Text June 2005 - September 2010
Federal Communications Commission July 2004 - June 2005
Artesia Technologies February 2004 - June 2004
Skills
Quality Center, Test Automation, Test Planning, User Acceptance Testing, QTP, Testing, Software Quality..., Quality Assurance, Regression Testing, Agile Methodologies, Software Development
Education
Madurai Kamaraj University 1996 — 2000
BE, Electrical and Electronics
National Institute of Information Technology 1997 — 1999
Honours Diplomo, Network Centered Computing
Alpha Matriculation Hr Sec School 1982 — 1996
Prek -12Grade
EU Services August 2012 - Present
Financial Industry Regulatory Authority June 2011 - August 2012
Power Home Remodeling Group 2009 - 2011
Skills
Moderate fluency in..., Series 7, Microsoft Office, FINRA, Microsoft Excel, Sales, Customer Service, Salesforce.com, Insurance, Customer Satisfaction, Account Management, Social Media Marketing, Leadership, Marketing, Cold Calling, Facebook
Education
Lebanon Valley College 2003 — 2008
Bachelor's Degree, Psychology/Business
Barrie School 1988 — 2003
HS Diploma
City of Chicago Department of Law August 2013 - Present
Financial Industry Regulatory Authority May 2013 - August 2013
Brown County Circuit Court May 2012 - August 2012
Ephraim Yacht Club 2011 - 2011
Shoreline Charter 2010 - 2011
Skills
Legal Research, Legal Writing, Westlaw, Legal Assistance, Contract Negotiation, Litigation, International Law
Education
University of Notre Dame Law School 2011 — 2014
Doctor of Law (J.D.), Law
Miami University 2007 — 2011
Bachelor's, Political Science
Miami University Dolibois European Center 2009 — 2009
European Union Law, French, Sociology
ICMA-RC November 2014 - Present
Financial Industry Regulatory Authority February 2006 - March 2014
Financial Industry Regulatory Authority July 1998 - February 2006
Skills
Securities Exchange Act..., Sarbanes-Oxley Act, Dodd-Frank, Securities Regulation, Statutory Compliances, Legal Compliance, Legal Research, Legal Writing, Process Improvement, Work Process Development, Instructor-led Training, Mentoring, Result Oriented, Self-starter, Competitive Intelligence, Analytical Skills, Customer Satisfaction, Microsoft Office, SharePoint, Lexis-Nexis, Courtlink, Securities, FINRA
Education
Marymount University 1992 — 1997
Bachelor's degree, Psychology with Minor in Education
U.S. Securities and Exchange Commission September 2014 - December 2014
Financial Industry Regulatory Authority May 2014 - July 2014
RXR Realty May 2009 - May 2012
Education
Washington University in St. Louis School of Law 2012 — 2015
Doctor of Law (J.D.), Law
Long Island University
Master of Business Administration (M.B.A.), Business Administration and Management, General
Yeshiva University
Bachelor’s Degree, General Business & History
Financial Industry Regulatory Authority July 2013 - Present
Celerity January 2008 - Present
FINRA November 2010 - June 2013
FINRA January 2008 - October 2010
CareFirst BlueCross BlueShield January 2007 - December 2007
BNP Paribas August 2006 - December 2006
TicketsNow.com October 2005 - July 2006
Odyssey Technologies July 2001 - June 2002
Skills
QTP, SDLC, Quality Center, Requirements Analysis, Agile, SQL, Rational Tools, Test Automation, Test Management, Test Planning, WinRunner, LoadRunner, Team Leadership, Testing, Web Services, Manual Testing, Test Strategy, Test Cases, System Testing, Quality Assurance, Regression Testing, Databases, Software Development, VSS, User Acceptance Testing, Requirements Gathering, Performance Testing, Business Analysis
Education
Louisiana State University 2002 — 2005
MS, Electrical Engineering
University of Madras 1997 — 2001
B.E, Electrical & Electronics Engineering
MFY Legal Services July 2014 - Present
Legal Services NYC March 2014 - June 2014
New York Legal Assistance Group February 2014 - May 2014
Baker Manock & Jensen October 2012 - September 2013
California Department of Justice January 2012 - April 2012
California Department of Business Oversight January 2012 - April 2012
Federal Trade Commission August 2011 - November 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Fox Television June 2010 - August 2010
Morgan Stanley April 2005 - July 2009
Education
Loyola Law School, Loyola Marymount University 2009 — 2012
Doctor of Law (J.D.)
New York University Polytechnic School of Engineering 2007 — 2011
Master of Science (M.S.), Financial Engineering
State University of New York at Stony Brook 2001 — 2005
Bachelor's degree, Mathematics, Applied Mathematics and Statistics
Deloitte & Touché LLP November 2013 - Present
Financial Industry Regulatory Authority April 2013 - October 2013
Financial Industry Regulatory Authority June 2009 - March 2012
Financial Industry Regulatory Authority June 2008 - May 2009
New York Stock Exchange June 2006 - May 2008
UBS January 2007 - June 2007
Skills
FINRA, Broker Dealer, Auditing, Microsoft Word, Microsoft Excel, Compliance, Broker-Dealer, Internal Controls, Securities, Trading Systems, Investments, Capital Markets
Education
Iona College 2005 — 2007
Bachelor of Business Administration (BBA), Finance
Jefferies & Company May 2012 - Present
Morgan Stanley Smith Barney June 2009 - April 2012
Citi Global Wealth Management January 2005 - June 2009
WilmerHale October 2003 - December 2004
Financial Industry Regulatory Authority November 1999 - August 2003
Sullivan & Cromwell LLP October 1995 - November 1999
U.S. District Court, Washington, D.C. September 1994 - September 1995
Education
Howard University School of Law 1991 — 1994
J.D., Cum Laude
The College of William and Mary
Bachelor of Arts, Government
Chrysler February 2007 - July 2008
Compuware October 2006 - December 2006
DaimlerChrysler Corporation March 2004 - September 2006
DSRC December 2002 - March 2004
Financial Industry Regulatory Authority April 2002 - November 2002
DSRC March 2000 - April 2002
Skills
Java Enterprise Edition, SQL, Java, SDLC, Agile Methodologies, Oracle, DB2, Websphere, Weblogic, UML, Struts, JSP, JavaScript
Education
Madurai Kamaraj University 1995 — 1999
Bachelor of Engineering, Computer Science
YWCA Matric Hr. Sec School
Financial Industry Regulatory Authority 2010 - 2012
OPNET Technologies 1998 - 2007
Education
Indian Institute of Technology, Bombay
Bank of America August 2015 - Present
RBS Markets & International Banking November 2012 - July 2015
Financial Industry Regulatory Authority October 2011 - October 2012
FINRA July 2009 - October 2011
FINRA July 2008 - July 2009
New York Stock Exchange July 2007 - July 2008
New York Stock Exchange July 2006 - July 2007
Kraft Foods 2003 - 2005
Skills
Securities, Equities, Financial Analysis, FINRA, Investments, Financial Reporting, Accounting, Auditing, Microsoft Excel, Broker-Dealer, Financial Services, Microsoft Office
Education
Iona College 2002 — 2006
BBA, Finance
Stamford High School 1998 — 2002
High School Diploma
National Futures Association December 2013 - Present
Financial Industry Regulatory Authority July 2011 - December 2013
ISE April 2000 - July 2010
American Stock Exchange October 1999 - April 2000
Bear Stearns May 1997 - October 1999
Skills
Equities, DMM equities trading, NYSE equities trading..., Securities, Process Improvement, Options, FINRA, Financial Services, Analysis, Employee Training, Hedge Funds, Trading, Policy, Management, Anti Money Laundering, AML, Capital Markets, Electronic Trading, Derivatives, Financial Markets, Risk Management, Market Data, Investments, Trading Systems
Education
New York Institute of Technology 1997 — 2001
MBA, Finance
LIU Brooklyn 1994 — 1996
BA, Political Science
New York City Technical College 1992 — 1994
AAS, Paralegal Studies
Financial Industry Regulatory Authority January 1996 - Present
Washington Utilities and Transportation Commission January 2013 - February 2014
Federal Energy Regulatory Commission October 2006 - December 2012
Krogh & Leonard July 2001 - September 2006
Bonneville Power Administration January 1995 - July 2001
United States Department of Justice October 1991 - June 1995
Skills
Arbitration, Energy, Administrative Law, Energy Policy, Energy Law, Legal Writing, Policy Analysis, Legal Research, Litigation, Environmental Law, Mediation, Civil Litigation, Westlaw, Legislation, Trials, Appeals, Corporate Governance
Education
Lewis & Clark Law School 1998 — 2000
LLM, Natural Resources and Environmental Law
Lewis & Clark Law School 1982 — 1985
JD
Reed College 1978 — 1982
BA, History and Literature
HSBC Global Banking and Markets September 2014 - Present
Financial Industry Regulatory Authority July 2011 - August 2014
Bloomberg March 2009 - August 2009
Law Offices of Peter W. Shafran December 2008 - March 2009
Reader's Digest June 2007 - May 2008
State of Connecticut Judicial Department January 2005 - May 2005
Skills
Securities Regulation, FINRA, Securities, Corporate Law
Education
Hofstra University 2008 — 2010
Master of Business Administration (MBA), Finance
Maurice A. Deane School of Law at Hofstra University 2005 — 2008
Juris Doctor (JD)
University of Connecticut 2001 — 2005
Bachelor of Science in Business Administration (BSBA), Finance
Financial Industry Regulatory Authority 1995 - 2012
Education
Iona College 1971 — 1975
Bachelor of Arts (B.A.), Political Science and Government
Salesian High New Rochelle NY
PricewaterhouseCoopers LLP October 2014 - Present
United States District Court - Southern District of New York September 2013 - December 2013
PricewaterhouseCoopers LLP June 2013 - August 2013
Securities Arbitration Clinic - St. John's University School of Law 2013 - May 2013
Financial Industry Regulatory Authority September 2012 - December 2012
New York Supreme Court - Commercial Division May 2012 - August 2012
JPMorgan Chase June 2010 - May 2011
Skills
Tax Law, State and Local Tax, Employment Tax, Legal Research, Legal Writing, Criminal Procedure, Income Sourcing, Westlaw, LexisNexis, Microsoft Office, Bloomberg Terminal, Superforms Tax 2013, QuickBooks, Unemployment Insurance
Education
Saint John's University School of Law 2011 — 2014
Doctor of Law (J.D.), Commercial, Banking & Tax Law, Graduated: Dean's List
Hofstra University 2004 — 2010
Bachelor of Business Administration (B.B.A.), Finance and Accounting
Townsend Harris High School 2002 — 2006
Advanced Regents Diploma - Honors
Financial Industry Regulatory Authority May 2005 - April 2015
Dow Jones 1997 - 2005
Superior Court of New Jersey September 1996 - August 1997
Skills
Media Relations, Securities Regulation, Newsletters, Bankruptcy, FINRA, Research, Securities, Civil Litigation, AML, Fraud, Courts, Corporate Governance, Financial Regulation, Hedge Funds, Legal Writing, Anti Money Laundering, Certified Fraud Examiner, Management
Education
Seton Hall University School of Law 1993 — 1996
Law
Loyola University Maryland 1989 — 1993
B.S., Political Science
Christian Brothers Academy, Lincroft, NJ 1985 — 1989
High School
Financial Industry Regulatory Authority 2012 - Present
Sears Holdings Corporation 2012 - 2012
Skills
Hadoop, Big Data, datameer, Linux System..., Greenplum, Netezza
Education
Indiana State University
MS, Computer Science
SpecPro Technical Services (STS) February 2013 - Present
Grant, Riffkin & Strauss, PC. January 2009 - February 2013
Clovis August 2010 - January 2013
Financial Industry Regulatory Authority February 2010 - August 2010
Clark County School District and Montgomery County Public Schools March 2005 - June 2009
Skills
Training, System Administration, Data Entry, Troubleshooting, Human Resources, Team Leadership, Administration, Microsoft Office, Management, PowerPoint, Microsoft Word, Active Team Player, Social Networking, Fax, Employee Benefits, Employee Relations, Skip Tracing, Ordering Office Supplies, Receptionist Duties, Adobe Acrobat, Team-oriented, Customer Satisfaction, Event Planning, Public Speaking, Networking, Passion for Helping..., New Hire Paperwork, Maintaining..., Customer Service, Leadership, Program Management, Security, Marketing, Research, Consulting, Security Clearance
Education
Hofstra University 1999 — 2004
BA, Elementary Education
Thomas Wootton High School 1995 — 1999
Financial Services Commission of Ontario (FSCO) July 2015 - Present
MFDA December 2013 - June 2015
US Securities and Exchange Commission January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
Financial Industry Regulatory Authority May 2011 - July 2011
Howard University January 2011 - April 2011
Scotia iTRADE June 2008 - July 2009
E*TRADE Financial January 2007 - May 2008
Skills
Securities, Corporate Governance, Capital Markets, Securities Regulation, Investments, Corporate Law, Legal Writing, Westlaw, Corporate Finance
Education
National Committee on Accreditation 2012 — 2014
Certificate of Qualification, Law
Howard University School of Law 2009 — 2012
Juris Doctorate, Banking, Corporate, Finance, and Securities Law
University of Waterloo 2002 — 2006
BA, Economics, Finance
Streetsville Secondary School 1998 — 2002
iTech US Inc 2013 - Present
Financial Industry Regulatory Authority 2006 - 2013
HP Enterprise Services March 2007 - December 2012
Skills
SDLC, ITIL, Microsoft SQL Server, ASP.NET, SQL, Agile Methodologies, Selenium Testing, QTP, BPT, Datastage, Informatica, Quality Center, Data Warehousing, Test Planning, Oracle, SOA, Test Automation, Selenium WebDriver, junit
Education
Koneru Lakshmaiah College of Engineering 1997 — 2001
Bachelor of Technology (BTech), Computer Science
Financial Industry Regulatory Authority
Skills
FINRA, Securities, Securities Regulation, Broker-Dealer, Series 7, Fixed Income, Equities, Hedge Funds, Mutual Funds, Capital Markets, Series 24, Series 63, Due Diligence, Financial Regulation, Anti Money Laundering, Alternative Investments, Investment Advisory, Financial Services, Investments, Financial Markets, Risk Management, Asset Management, Financial Risk, Bloomberg, Municipal Sales, Municipal Trading..., Municipal Compliance...
Education
Iona College
Bachelor's Degree
Financial Industry Regulatory Authority 2007 - Present
NYSE Euronext 1987 - June 2007
Skills
Equities, Capital Markets, Financial Risk, Project Planning, Finance, Fraud, Analysis, Compliance, Governance, Internal Audit, Risk Assessment, Credit Risk, Risk Management, Operational Risk, Operational Risk..., Financial Services, Enterprise Risk..., Securities, AML, Fixed Income, Hedge Funds, Anti Money Laundering, Derivatives, FINRA
Education
New York University - Leonard N. Stern School of Business 2014 — 2015
Master of Science (MS), Risk Management
Pace University - Lubin School of Business 1988 — 1992
Master of Business Administration (MBA), Financial Management
Manhattan College 1983 — 1987
Bachelor of Science, Finance
University of Pennsylvania - The Wharton School
FINRA January 2007 - Present
Financial Industry Regulatory Authority October 2002 - December 2006
Financial Industry Regulatory Authority March 2000 - October 2002
Skills
Financial Services, Securities, FINRA, Analysis, Series 7, SEC, Investments, AML, Due Diligence, Equities, Financial Risk, Fixed Income, Investment Advisory, Mutual Funds, Series 63
Education
University of North Carolina at Chapel Hill 1996 — 1999
Juris Doctor
Lynchburg College 1988 — 1992
B.A., Communications
Four Corners
Financial Industry Regulatory Authority April 2011 - Present
Barclays Capital September 2008 - April 2011
Lehman Brothers August 1994 - September 2008
PANACHE December 1981 - August 1994
Peter Tennyson June 1981 - December 1981
Merrill Lynch Pierce Fenner and Smith June 1980 - June 1981
Fanning Personnel June 1979 - June 1980
Skills
Fixed Income, Hedge Funds, Equity Derivatives, Capital Markets, Prime Brokerage, Derivatives, Equities, Securities, Commodity, Trading Systems, FINRA, Electronic Trading, Middle Office, Options, Investment Banking, Accounting, Mergers & Acquisitions, Swaps, Structured Products, Operational Risk..., Credit Derivatives, Financial Risk, AML
Education
Kingsborough Community College 1977 — 1979
Associates Degree, Liberal Arts and Sciences/Liberal Studies, 3.2
Financial Industry Regulatory Authority August 2012 - Present
United States Department of Justice Tax Division June 2006 - August 2012
Office of the White House Counsel November 2011 - May 2012
Queens County District Attorney's Office August 2002 - June 2006
Skills
Trial Practice, Criminal Law, Appeals, Hearings, Trials, Courts, Litigation, Legal Research, Westlaw, Legal Writing, Arbitration, Criminal Defense, Securities Regulation
Education
Hofstra University School of Law 1999 — 2002
Doctor of Law (J.D.)
University of Washington 1995 — 1999
Bachelor of Arts (B.A.), Business Administration (Finance)
Ferris Baker & Watts December 2008 - February 2009
Ferris Baker & Watts December 2008 - February 2009
Fixed Income Financial Industry Regulatory Authority June 2008 - August 2008
Fixed Income Financial Industry Regulatory Authority June 2008 - August 2008
Financial Industry Regulatory Authority 2008 - 2008
BTV Summer Camp June 2004 - August 2007
Education
Liberty University 2011 — 2013
Business Administration/Finance
Liberty University
Business Admin-Finance
Saint John's University 2007 — 2011
Finance and Marketing
Liberty University
Business Administrations/Finance
Saint John's University
Finance
Saint John's University
Finance
Banca IMI December 2014 - Present
Financial Industry Regulatory Authority January 2014 - May 2014
Frenkel Lambert Weiss Weisman & Gordon July 2013 - January 2014
Advisors Asset Management, Inc. December 2012 - May 2013
Long Island Real Estate Group October 2012 - November 2012
Kaplan September 2010 - May 2011
Skills
Public Speaking, Microsoft Excel, Customer Service, Research, Finance, Data Entry, Networking, PowerPoint, Islamic Banking, Equity Valuation, Analysis
Education
Hofstra University 2010 — 2014
Bachelor of Business Administration (BBA), Finance
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Financial Industry Regulatory Authority May 2014 - August 2014
Grifols January 2009 - September 2012
National Institute of Environmental Health Sciences (NIEHS) August 2004 - December 2008
Education
Indiana University - Kelley School of Business 2013 — 2015
Master of Science (M.S.), Finance
North Carolina State University 2002 — 2007
Bachelor's of Science, Chemistry
St. Joseph's College January 2003 - Present
Long Island University September 1999 - Present
Financial Industry Regulatory Authority January 1992 - June 2010
New York Stock Exchange July 2006 - April 2008
Skills
Student Affairs, Teaching, Curriculum Development, Curriculum Design, Adult Education, Academic Advising, College Teaching, Instructional Design, Tutoring, Research, Courses, Public Speaking, Staff Development, Educational Technology, Classroom, Program Development, University Teaching, E-Learning, Admissions
Education
Long Island University, Brooklyn Campus 1994 — 2002
Bachelor of Business Administration (B.B.A.), Business, Management, Marketing, and Related Support Services
Long Island University, Brooklyn Campus 1994 — 1999
Master's degree, Public Administration
Financial Industry Regulatory Authority May 2013 - Present
Virginia State Corporation Commission August 2006 - April 2013
Skills
Financial Regulation, Financial Audits, Financial Crime, Financial Transactions, Financial Investigation, FINRA, Broker-Dealer Compliance, Broker-Dealer Operations
Education
James Madison University - College of Business 2002 — 2006
Bachelor of Business Administration (BBA), Finance, General
Financial Industry Regulatory Authority September 2013 - Present
Financial Industry Regulatory Authority September 2011 - September 2013
State of Maryland Office of Administrative Hearings July 2010 - August 2011
Proskauer Rose LLP July 2006 - June 2010
Chadbourne & Parke LLP January 2006 - July 2006
U.S. Securities and Exchange Commission August 2003 - January 2006
Miles & Stockbridge P.C. March 1999 - August 2003
Education
University of Baltimore School of Law 1995 — 1998
Juris Doctor, Law
Loyola College in Maryland 1989 — 1993
Bachelor of Arts (B.A.), Political Science
Anthony Lucarelli September 2009 - Present
Self-employed April 2009 - Present
Self Employed September 2009 - September 2012
Financial Industry Regulatory Authority July 2007 - April 2009
NYSE Euronext/FINRA November 1971 - April 2009
Skills
Securities, Interpretation, SEC Rules 15c3-1/15c3-3, SEC, Finance, FINRA, Training, SEC filings, Financial Analysis, Equities, Derivatives, Account Reconciliation, Hedge Funds, Regulations, Bloomberg, Fixed Income, Financial Services, AML
Education
Long Island University, Brooklyn Campus 1967 — 1971
Bachelor of Applied Science (B.A.Sc.), Accounting
FrontLine Compliance, LLC January 2014 - Present
Financial Industry Regulatory Authority July 2010 - January 2014
FrontLine Compliance, LLC 2010 - 2010
INTECH Investment Management LLC 2008 - 2009
Wells Fargo (f/k/a Wachovia Securities LLC) 1996 - 2008
US Securities and Exchange Commission 1988 - 1996
Skills
Securities Regulation, Securities, Fraud, Compliance, Specialty: Series 7, 9,..., AML, Strategic Financial..., Portfolio Management, Financial Services, Investments, Internal Controls, FINRA
Education
Illinois Institute of Technology
Master of Science (MS), Financial Markets and Trading
Northwestern University
Bachelor of Science (BS), Organizational Behavior Studies degree, Accounting Certificate, With Honors
Financial Industry Regulatory Authority August 2004 - Present
TD Waterhouse June 2003 - August 2004
Accenture November 1999 - June 2003
Bear, Stearns and Co., Inc. May 1998 - June 1999
Skills
Global Regulatory..., Financial Reporting, Financial Analysis, FINRA, Finance, Management, SEC, Analysis, Bank Secrecy Act, AML, USA PATRIOT Act, OFAC, Regulations
Education
St. John's University 1996 — 1998
Master of Business Administration (MBA), International Finance
Manhattan College 1992 — 1996
Bachelor of Science (BS), Accounting
Financial Industry Regulatory Authority September 2000 - Present
Skills
FINRA, Finance, Trading, Financial Risk, Analysis, Internal Audit, Internal Controls, Securities, Equities, Investments, Fixed Income
Education
Siena College 1992 — 1996
Bachelor of Science (BS), Finance, General
Hofstra University
Accounting Certification, Accounting and Finance
Carahsoft October 2014 - Present
AAA Mid-Atlantic 2012 - 2014
Financial Industry Regulatory Authority May 2011 - August 2011
Financial Industry Regulatory Authority (FINRA) May 2010 - August 2010
Skills
Customer Service, Customer Satisfaction, Customer Retention, Sales, Problem Solving, Problem Analysis, Continuous Improvement, Supervisory Skills, Invoice Processing, Analysis
Education
James Madison University 2008 — 2012
Bachelor of Science, Public Policy and Administration