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
The World Bank October 2007 - Present
Financial Industry Regulatory Authority April 2006 - June 2007
Taiwan Depository & Clearing Corporation November 1999 - March 2004
Skills
English, Microsoft Office, Strategic Planning, Research, Financial Analysis, Collateral Management, International..., Treasury Management, Fixed Income, Manage Client..., Securities, Risk Management, Trading, Emerging Markets, Bonds, Banking, Derivatives, Investment Management, Operational Risk, Management
Education
The Johns Hopkins University - Carey Business School 2006 — 2008
Master of Science (M.S.), Finance and Financial Management Services
Virginia Tech 1994 — 1998
Bachelor of Science (BS), Mathematics, Chemistry, Asia Studies
International Law in Domestic Courts Journal April 2014 - April 2015
U.S. Senate Permanent Subcommittee on Investigations September 2014 - November 2014
Ropes & Gray LLP May 2014 - July 2014
US Securities and Exchange Commission January 2014 - April 2014
Financial Industry Regulatory Authority May 2013 - August 2013
glendonTodd Capital LLC 2011 - 2012
Anheuser-Busch InBev July 2010 - May 2011
Goldman Sachs June 2009 - August 2009
Skills
Research, Public Speaking, Legal Writing, Legal Research, Policy Analysis, Securities, Finance, Analysis, Business Development, Fraud, Mergers & Acquisitions, Financial Modeling
Education
The George Washington University Law School 2013 — 2015
Doctor of Law (J.D.)
Princeton University 2006 — 2010
BA, Politics - International Relations
Goldman Sachs April 2015 - Present
Deutsche Bank February 2014 - April 2015
Financial Industry Regulatory Authority December 2012 - February 2014
Transcend Capital April 2011 - December 2012
NFP Advisor Services Group November 2007 - April 2011
NFP Advisor Services Group September 2006 - November 2007
Washington Mutual May 2005 - September 2006
Skills
Finra Series 7, Finra Series 66, Finra Series 24, Finra Series 53, Finra Series 4, Finra Series 3, Finra Series 30, Finra Series 34, FINRA, Options, Foreign Exchange, Series 7, Series 24, Equities, Uniform Combined State..., Trading, Financial Services, Investments, Securities, Mutual Funds, Commodity, AML
Education
The University of Texas at Austin 2001 — 2005
BA, Philosophy
Weil, Gotshal & Manges LLP September 2014 - Present
United States District Court for the District Of Columbia August 2013 - November 2013
Financial Industry Regulatory Authority May 2013 - August 2013
U.S. Securities and Exchange Commission January 2013 - April 2013
Arkin Solbakken LLP May 2012 - August 2012
Skills
Westlaw, Legal Writing, Legal Research Skills, Legal Research, Securities Regulation, Networking, Legal Issues, Corporate Law, Civil Litigation, Bankruptcy, Corporate Finance, Public Policy, Trial Practice, Determination, Employee Loyalty
Education
The George Washington University Law School 2012 — 2014
Doctor of Law (JD), High Honors
Fordham University 2007 — 2011
Bachelor of Arts (B.A.), Political Science and Government
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority (FINRA) July 2014 - July 2015
Lake Waramaug Country Club December 2010 - June 2014
Trinity College - Hartford January 2014 - May 2014
Trinity College - Hartford April 2013 - May 2014
Trinity College - Hartford May 2011 - May 2014
Trinity College - Hartford September 2010 - May 2014
Trinity College - Hartford May 2013 - December 2013
Trinity College - Hartford September 2012 - December 2013
Financial Industry Regulatory Authority May 2013 - August 2013
Education
Trinity College-Hartford 2010 — 2014
Bachelor's Degree, Economics, Minor in French Studies
Kent School 2006 — 2010
High School
Bank of America Merrill Lynch May 2015 - Present
Financial Industry Regulatory Authority December 2011 - May 2015
Northwestern Mutual July 2014 - October 2014
Goldman Sachs May 2011 - January 2012
Northwestern Mutual May 2010 - August 2010
Skills
Wealth Management, Fixed Income, Securities, FINRA, Series 7, Microsoft Excel, Strategic Financial..., Financial Analysis, Equities, Investments, Mutual Funds, Asset Allocation, Bloomberg, Finance
Education
State University of New York at Albany 2007 — 2011
B.S. Business Administration, Finance/Management, Financial Market Regulation
Georgetown University Law Center August 2015 - Present
Klamp & Associates, P.C. June 2012 - Present
Public International Law & Policy Group February 2012 - July 2012
United States Air Force May 2010 - July 2010
UNDP January 2010 - April 2010
Financial Industry Regulatory Authority May 2009 - August 2009
Community Legal Education Center May 2008 - July 2008
Calvert Social Investment Foundation, Inc February 2006 - April 2007
Accion New Mexico • Arizona • Colorado August 2004 - August 2005
Skills
International Relations, International Law, International..., Tax Law, Employment Law..., Legal Compliance, Insurance Law, Public Speaking, Legal Research, Legal Writing, Legal Liability, Charity Governance, Nonprofits, Non-profit..., Non-profit Leadership, Non-profit Board..., Report Writing, Editing, Tax Research, IRS, Client Billing, Project Finance, Report Writing Skills, Research, Small Group..., Interviews, People Skills, Organization, Organization &..., Priority Management, Email, Microsoft Office, Microsoft Excel, Microsoft Word, Microsoft Publisher, French, International..., Policy Analysis, Human Rights, Public International Law, Public Policy
Education
The Johns Hopkins University - Paul H. Nitze School of Advanced International Studies (SAIS) 2008 — 2012
Master of International Affairs, Strategic Stu
University of Michigan Law School 2007 — 2011
Doctor of Law (J.D.)
University of Pennsylvania 2000 — 2004
Bachelor of Arts (B.A.), International Relations
Bain Capital August 2015 - Present
KGS-Alpha Capital Markets, L.P. March 2014 - August 2015
Financial Industry Regulatory Authority April 2013 - March 2014
Financial Industry Regulatory Authority October 2011 - April 2013
Financial Industry Regulatory Authority October 2010 - October 2011
Skills
Securities, FINRA, Finance, Fixed Income, Investments, Financial Analysis, Financial Modeling, Series 7, Equities, Mutual Funds, Microsoft Excel, Hedge Funds, Financial Markets, Bloomberg, Financial Regulation, Capital Markets, Portfolio Management, Securities Regulation, Valuation, Broker-Dealer, Risk Management, Risk Modeling, Structured Products, Credit Derivatives, Derivatives, Interest Rate..., Trading, Private Equity, Venture Capital
Education
Examiner University: Elements of Regulation and Compliance 2011 — 2011
State University of New York at Albany
Bachelor of Science Degree in Business Administration, Honors Financial Analyst Program
Arlington High School
Independent July 2012 - Present
Noble Group April 2014 - Present
Direct Energy July 2012 - Present
Citigroup November 2009 - June 2012
CRT Capital Group March 2008 - October 2009
Financial Industry Regulatory Authority September 2005 - February 2008
Chicago Stock Exchange March 2005 - August 2005
Skills
Securities, Financial Markets, Compliance, Dodd-Frank, AML, Equities, Derivatives, Commodity, Energy Products, Swaps, Options, Trading Systems, Electronic Trading, Series 7, Series 63, SQL, Bloomberg
Education
The Ohio State University 2000 — 2004
BA
Financial Industry Regulatory Authority June 2010 - Present
NYSE Euronext June 2004 - June 2010
Skills
Securities, FINRA, Securities Regulation, Capital Markets, Equities, Due Diligence, Investments, Risk Management, Derivatives, Alternative Investments, Equity Trading, Trading
Education
University of California, Davis 2007 — 2011
Master of Business Administration (MBA), Finance
University of California, Berkeley 2000 — 2004
B.A, Economics
U.S. House of Representatives August 2014 - Present
U.S. Chamber of Commerce Foundation February 2014 - July 2014
U.S. House of Representatives August 2013 - December 2013
Sheppard Mullin Richter & Hampton LLP July 2012 - June 2013
Binghamton University State University October 2010 - October 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Legal Aid Society September 2010 - December 2010
Civil Court of the City of New York, Kings County , Brooklyn, NY May 2008 - September 2008
Education
The Johns Hopkins University 2013 — 2015
Master of Arts (M.A.), Global Security Studies
Binghamton University, State University of New York 2008 — 2012
Bachelor of Arts, Classical Latin Studies, Linguistics Minor
CareFirst BlueCross BlueShield June 2011 - Present
Fannie Mae June 2010 - May 2011
CodeRyte, Inc. August 2005 - March 2010
Financial Industry Regulatory Authority June 2003 - July 2005
Financial Industry Regulatory Authority June 2002 - June 2003
eGrail, Inc. 2000 - 2002
Discovery Communications, Inc. 1999 - 2000
TAX MANAGEMENT, INC. 1998 - 1999
BOEING IS at NASA HEADQUARTERS 1997 - 1998
BUREAU OF NATIONAL AFFAIRS (BNA), INC. 1994 - 1997
Skills
E-commerce, Financial Services, Online Advertising, Publishing, Regulations, Equities, Broadband, Multimedia, New Media, Options, Technology Change..., Technical Leadership, Medical Technology, Software Documentation, Agile Methodologies, Architecture, SDLC, Strategic Leadership, Youth Leadership, Enterprise Architecture, Java Enterprise Edition, Software Development, Medical IT, Web Services, Integration, SOA, Strategy, Leadership, Enterprise Software, PMO, Program Management, Requirements Analysis, Testing, XML, Project Portfolio..., Perl, Web Applications, Business Process, Process Improvement, Agile Project Management, System Architecture, Quality Assurance, Start-ups, Mobile Devices, Software Project..., Outsourcing, IT Strategy, Cloud Computing, Business Intelligence, Architectures
Education
University of Maryland 2003 — 2005
MS, Technology Management
University at Buffalo 1985 — 1990
BS, Electrical and Computer Engineering
Financial Industry Regulatory Authority January 2015 - Present
Bates Group, LLC May 2013 - January 2015
TIAA-CREF Financial Services December 2011 - March 2013
Wells Fargo Advisors August 1999 - December 2011
PaineWebber Incorporated February 1989 - August 1999
Skills
Financial services..., Risk Management, Options, Policy, Onboarding, Series 7, Series 63, Securities, Investments, Financial Services, Wealth Management, Futures, Series 3, Series 4, Series 24, Training, Uniform Combined State..., FINRA, Series 6, Investment Advisory, Equities, Hedge Funds, Fixed Income
Education
The Cooper Union for the Advancement of Science and Art 1976 — 1977
AIG February 2015 - October 2015
Financial Industry Regulatory Authority July 2012 - January 2015
Financial Industry Regulatory Authority May 2011 - August 2011
York Harbor Inn April 2007 - August 2010
Skills
Microsoft Excel, Data Analysis, Microsoft Word, PowerPoint, Public Speaking, Microsoft Office, Research, Outlook, Finance, Leadership, Risk Management, Time Management, FINRA, Financial Analysis, Auditing, Customer Service, Analysis, Financial Risk, Teamwork, CCAR, Internal Audit, RWA, Financial Audits, Enterprise Risk...
Education
State University of New York at Albany 2008 — 2012
Bachelor of Science (B.S.), Financial Market Regulation
Financial Industry Regulatory Authority August 2012 - Present
International Assets Advisory January 2011 - Present
Experts Counsel, Inc. February 2005 - Present
Raymond James Investment Services Ltd February 2000 - January 2005
Killik & Co 2000 - 2005
Raymond James 1994 - 2005
Robert Thomas Securities 1994 - 1998
Raymond James Financial 1990 - 1994
Skills
Investments, Securities, FINRA, Team Building, Corporate Governance, Management, Due Diligence, Financial Risk, Financial Services, Mutual Funds, Corporate Law, Series 7, Equities, Investment Strategies, Fixed Income, Corporate Finance, Investment Banking, Joint Ventures, SEC, Strategic Financial..., Asset Management, Investment Advisory, Alternative Investments, Project Finance, Wealth Management, Private Equity, Arbitration, Securities Regulation, Financial Markets, Operational Risk..., Capital Markets, Risk Management, Banking, Mergers & Acquisitions, Finance, Hedge Funds, Derivatives, Broker-Dealer, Series 63, Financial Analysis, Asset Managment, Portfolio Management, Fraud
Education
University of Denver - Sturm College of Law 1984 — 1987
JD, Legal Studies
United States Air Force Academy 1978 — 1983
Bachelor of Science (BS), Engineering
Miami Palmetto
Financial Crimes Enforcement Network (FinCEN), US Department of the Treasury November 2012 - Present
Financial Industry Regulatory Authority 2003 - November 2012
NASD Regulation 1999 - 2003
NASD Regulation 1997 - 1999
NASD Regulation 1996 - 1997
NASD, Inc. 1993 - 1996
Skills
Compliance, Financial Crimes..., Fraud, Securities Fraud, Securities Regulation, AML, Due Diligence, KYC, Securities, FINRA, Enforcement, Research, Writing, Investigation, Analysis, Legal Writing, Financial Regulation, Private Investigations
Education
The George Washington University - School of Business 1998 — 2002
Master of Business Administration (MBA), Finance, General
The University of Texas at Austin - The Red McCombs School of Business 1988 — 1992
Bachelor of Business Administration (BBA), Finance, General
CBOE July 2014 - Present
CBOE June 2013 - July 2014
CBOE June 2012 - May 2013
Financial Industry Regulatory Authority January 2012 - May 2012
Potratz & Associates, P.C. January 2010 - May 2012
US Securities and Exchange Commission August 2011 - November 2011
Connelly Law Group LLC May 2011 - August 2011
United States District Court: Northern District of Illinois June 2010 - September 2010
Mark A. Morgenstern, Attorney at Law January 2010 - June 2010
The John Marshall Law School May 2009 - January 2010
Skills
Legal Issues, Pleadings, Hearings, Legal Research, Legal Writing, Litigation, Corporate Law, Securities, Westlaw, Legal Compliance, Civil Litigation
Education
The John Marshall Law School 2009 — 2012
Juris Doctor
The University of Iowa 2003 — 2007
B.A.
Law School
Financial Industry Regulatory Authority June 2012 - Present
Fox Smart, Inc. October 2004 - Present
The College Board June 2010 - June 2012
Booz Allen Hamilton June 2009 - June 2010
Financial Industry Regulatory Authority October 2007 - May 2009
EDS February 2005 - October 2007
Freddie Mac August 2003 - February 2005
Concert / AT&T March 2000 - August 2003
Global One May 1998 - March 2000
MCI / Worldcom September 1997 - May 1998
Skills
Java, J2EE, OOAD, SOA, IoC, AOP, GWT, HTML/XML, Spring, JPA, Hibernate, SQL, REST, Struts, JSP, Open Source, AJAX, Maven, Scrum, JAX-WS, JAXB, Ant, MVP, Amazon Cloud, RightScale, Java Enterprise Edition, Amazon Web Services..., Software Development, UML, Subversion, CSS, MySQL, Tomcat, XML, JDBC, JUnit, Enterprise Architecture, SDLC, Weblogic, Servlets, EJB, Agile Methodologies
Education
Wharton Business School 2000 — 2000
Certificate
Johns Hopkins University 1991 — 1993
MS
University of Maryland 1986 — 1989
BS
CEB June 2014 - Present
Intelligent Decisions July 2012 - June 2014
ePlus December 2011 - July 2012
Trump National Golf Club 2009 - 2011
Financial Industry Regulatory Authority May 2008 - August 2008
Skills
New Business Development, Solution Selling, Strategic Planning, Management Consulting, Finance, Professional Services, Marketing Strategy, Team Leadership, IT Solutions, Project Management, Presentations, XaaS
Education
The College of William and Mary - The Mason School of Business 2009 — 2011
BBA
The College of William and Mary 2007 — 2011
BBA
Financial Industry Regulatory Authority January 2014 - Present
TEKsystems, Assigned at FINRA January 2013 - January 2014
TEKsystems, Assigned at FINRA June 2012 - January 2013
Towson University January 2010 - May 2012
Interstate Tile and Mantle June 2008 - May 2009
The Home Depot May 2007 - June 2008
ABC Rental Rosedale October 2006 - March 2007
Expo Computers August 2001 - June 2006
Skills
Servers, Network Administration, SharePoint, Troubleshooting, Microsoft Office, Operating Systems, Microsoft Exchange, Active Directory, Project Management, Java, Network Security, Hardware, Verbal & Written..., Unix, Networking, Technical Support, Desktop Hardware Repair, Laptop Hardware Repair, Malicious Software..., SDLC, Databases, Operating System..., OS Imaging, Network Security..., Linux Bash Scripting, Ghost Severs, Custom Building Desktops, Microsoft SharePoint, MS Project, VMware, System Development Life..., Client / Server Security, Joomla Web Content..., Server Development, Java Programming, Microsoft Project, Virtual Machines, Documentation Writing, VMware ESX, VMware Infrastructure, VMware Server, Microsoft SQL Server, Oracle, Red Hat Linux, Windows Server, Nagios, BMC Remedy, Mac, Disaster Recovery, Automation
Education
Towson University 2009 — 2012
Bachelor of Science (B.S.), Information Technology
The Community College of Baltimore County 2006 — 2009
Associate of Science (A.S.), Network Technology
Eastern Technical High School 2002 — 2006
Diploma, Network Technology
FDA December 2012 - Present
Woodrow Wilson International Center for Scholars September 2011 - December 2012
Regulatory Affairs Professionals Society (RAPS) 2012 - 2012
Circuit Court for Worcester County February 2006 - February 2007
Financial Industry Regulatory Authority October 2005 - February 2006
Dreschler Larkin & Walters LLP October 2004 - October 2005
U.S. District Court District of Columbia January 2005 - June 2005
Office of Counsel to Inspector General, HHS June 2004 - August 2004
K&L Gates June 2003 - August 2003
Human Genome Sciences February 2001 - July 2002
Skills
Rule Of Law, Legal Research and..., Policy Analysis, FDA Regulations, Regulatory Affairs, FDA, Writing, ELISA, GMP, Clinical Development, Budgets, Data Analysis, Intellectual Property, Criminal Law, Biotechnology, Public Policy, Policy, Lifesciences, Legal Writing, Statistics, Litigation, Product Development, Government, Cell Culture, Legal Research, Nonprofits, Administrative Law, Courts, Synthetic Biology, Research, Biopharmaceuticals, International Relations, Medical Devices, Molecular Biology, Grant Writing, Science, Patents, Life Sciences
Education
The Johns Hopkins University 2010 — 2012
MS, Bioscience Regulatory Affairs
Widener University School of Law (PA) 2002 — 2005
Juris Doctorate, Law, Concentration in Intellectual Property Law
University of Maryland College Park 1998 — 2002
Bachelors, Cell Biology and Molecular Genetics
BuckleySandler LLP September 2014 - Present
American Association of Bank Directors September 2013 - June 2014
Mortgage Bankers Association May 2013 - August 2013
Financial Industry Regulatory Authority January 2013 - April 2013
Harris Corporation June 2012 - December 2012
American Chamber of Commerce in Poland (AmCham) May 2012 - June 2012
British Red Cross May 2008 - August 2008
Skills
Banking Law, Policy, Legal Writing, Virtual Currency, Legal Research, Public Policy, Corporate Law, Policy Analysis, Westlaw
Education
George Washington University Law School 2012 — 2014
Doctor of Law (J.D.), cum laude
University College London, U. of London 2006 — 2010
Bachelor of Arts (BA), History with a European Language (French)
London School of Economics and Political Science 2009 — 2009
Summer Certificate, Introduction to English Law
La Sorbonne, Paris IV 2008 — 2009
ERASMUS, History
United States Air Force May 2014 - Present
United States Air Force 2012 - Present
United States Department of Defense August 2010 - March 2012
Financial Industry Regulatory Authority January 2010 - July 2010
Skills
Microsoft Office, Government, Customer Service, Process Improvement, Microsoft Excel, DoD, PowerPoint, Microsoft Word, Strategic Planning, Project Management, Leadership, Team Building, Public Speaking, Contract Management, Government Contracting, Government Procurement
Education
Webster University 2010 — 2012
MA, Procurement & Acquisition Management
Webster University 2010 — 2012
Graduate Certificate, Government Contracting
The University of Kansas 2004 — 2009
BA, Communication/Business Administration
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
US Securities and Exchange Commission September 2013 - April 2014
Financial Industry Regulatory Authority May 2013 - August 2013
NYS Office of the Attorney General, Investor Protection Bureau June 2012 - July 2012
JPMorgan Chase August 2010 - August 2011
Wells Fargo Financial June 2009 - July 2010
Skills
Securities Regulation, Westlaw, Securities Litigation, Securities, Sales, Research, Lexis, Legal Writing, Legal Research, Investigation, Fraud, Financial Regulation, Finance, Enforcement, Document Review, FINRA, Management, LexisNexis
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2013 — 2014
Doctor of Law (JD)
State University of New York at Buffalo 2011 — 2013
Doctor of Law (JD), Financial Transactions
State University of New York at Albany 2005 — 2009
Bachelor of Science (BS), 1. Financial Market Regulation, 2. Business Administration, Finance and IT Management
SIFMA January 2015 - Present
Financial Industry Regulatory Authority February 2014 - December 2014
Michigan Financial Group August 2013 - January 2014
Northwestern Mutual July 2012 - January 2013
Walnut Hills Golf Club May 2009 - August 2011
Skills
Microsoft Excel, English, Financial Modeling, Financial Analysis, Bloomberg, Valuation, Data Analysis, Finance, Portfolio Management, VBA, Economics, Quantitative Analytics, Corporate Finance, Investments, SAS, Fixed Income, Derivatives, Equities, R, Statistics, Analysis, Strategic Financial..., Capital Markets
Education
London School of Economics and Political Science 2013 — 2013
Summer School Program, Accounting and Finance
University of Michigan 2009 — 2013
Bachelor of Science (BS), Mathematics of Finance and Risk Management
NASDAQ OMX March 2014 - Present
Deloitte October 2011 - March 2014
Local NGOs February 2011 - June 2011
Financial Industry Regulatory Authority April 2008 - September 2010
Merrill Lynch September 2006 - May 2007
RSA June 2006 - August 2006
Skills
Financial Regulation, Securities Regulation, Regulatory Reporting, Regulatory Examinations, Financial Policies &..., Internal Controls, Equity Trading, Self-Regulatory..., Consolidated Audit Trail, Project Management, Strategic Consulting, NGOs, Microsoft Excel, Microsoft PowerPoint, Communication Skills
Education
University of Wisconsin-Madison 2003 — 2007
Bachelor of Business Administration (BBA), Accounting and Finance
University College Dublin 2006 — 2006
Study Abroad, International Business
Deutsche Bank April 2015 - Present
Financial Industry Regulatory Authority February 2014 - April 2015
Financial Industry Regulatory Authority July 2012 - February 2014
Union Graduate College November 2011 - June 2012
Pryba Tobin & Company, PC January 2012 - May 2012
Skills
Financial Analysis, Accounting, Auditing, Microsoft Excel, Microsoft Word, Financial Reporting, PowerPoint, Analysis, Outlook, Data Analysis, Finance, Financial Accounting, Account Reconciliation, Risk Management, Banking, Financial Risk, Strategic Financial..., Financial Planning, Project Management
Education
Union Graduate College 2011 — 2012
Master of Business Administration (MBA), Accounting
University at Albany 2007 — 2011
Bachelor of Science (B.S.), Accounting
Financial Industry Regulatory Authority March 2013 - Present
Financial Industry Regulatory Authority February 2011 - February 2013
Kellogg Capital Markets 2007 - January 2011
Kellogg Specialist Group 2005 - 2007
Education
Tufts University 2003 — 2004
Master of Arts (MA), Economics
Tufts University 1999 — 2003
Bachelor of Science (BS), Quantitative Economics
VERISIGN August 2013 - Present
Financial Industry Regulatory Authority January 2012 - May 2013
Johns Hopkins University January 2011 - December 2011
Skills
Java, Groovy, REST, Spring, Hibernate, SQL, Gradle, Grails, Ansible, RESTful WebServices, C, C++, AngularJS, ElasticSearch, JavaScript, OpenStack, Software Development, Web Services, Perl, JUnit, Android, Eclipse, HTML, DBUnit, Oracle, J2EE Web Services, Git, Shell Scripting, TeamCity, Linux, Agile Methodologies
Education
The Johns Hopkins University 2010 — 2011
Masters of Science, Computer Science, 3.6
University of Mumbai 2005 — 2009
Bachelors in Technology, Information Technology
Capital One Securities March 2014 - Present
Heikkinen Energy Advisors April 2013 - October 2013
Financial Industry Regulatory Authority October 2006 - July 2011
Skills
Valuation, Securities, Finance, Due Diligence, Financial Analysis, Data Analysis, Microsoft Excel, Bloomberg Terminal, Investments, Financial Modeling, Asset Management, Equity Research, Bloomberg, FINRA, Competitive Analysis
Education
Tulane University - A.B. Freeman School of Business 2011 — 2013
Master of Business Administration (MBA), Finance and Energy
Tulane University - A.B. Freeman School of Business 2002 — 2006
Bachelor of Science, Double Major in Finance and Management
Wells Fargo Securities July 2011 - Present
US Bank Investments, Inc April 2010 - April 2011
Freddie Mac November 2005 - March 2010
Financial Industry Regulatory Authority April 1997 - May 2005
Alex Brown & Sons July 1996 - January 1997
Merrill Lynch November 1990 - June 1996
Skills
Capital Markets, Securities, Trading, Fixed Income, Equities, Portfolio Management, Risk Management
Education
The Johns Hopkins University
MBA, Finance
Pennsylvania State University
BA, Economics
psu
LivePerson September 2014 - Present
LivePerson November 2012 - Present
Financial Industry Regulatory Authority August 2010 - October 2012
Eastern Shore of Virginia Broadband Authority January 2009 - January 2010
Paul G. Watson IV, P.C. November 2004 - April 2008
Mellon Investor Services October 2002 - February 2004
Louis Berger Group, Inc March 2001 - August 2002
Skills
Case Managment, Financial Accounting, Legal Administration, Research, Wordperfect, Notary Public, Litigation Support, Legal Writing, Due Diligence, Legal Research, Outlook, Document Review, Spreadsheets, Microsoft Excel, Legal Assistance, Civil Litigation, Westlaw, Licensing, Courts, Nonprofits, Corporate Law
Education
The George Washington University 2010 — 2012
M.P.S., Paralegal Studies
Virginia Commonwealth University - School of Business 1996 — 1999
Bachelor of Science, Finance
Ernst & Young LLP 2012 - Present
Royal Bank of Scotland June 2011 - November 2012
KPMG June 2007 - June 2010
Financial Industry Regulatory Authority August 2005 - May 2007
U.S. Securities and Exchange Commission January 2004 - May 2004
Financial Intelligence Agency May 1999 - April 2001
Financial Intelligence Agency March 1999 - April 2001
Deutsche Bank December 1996 - September 1998
Deutsche Bank December 1996 - September 1998
Lehman Brothers January 1991 - November 1996
Skills
AML, Banking, Operational Risk, Operational Risk..., Auditing, FCPA, Financial Services, FINRA, Valuation, Securities, Strategy, Legal Research, Policy, Financial Institutions, Fraud, Anti Money Laundering, Internal Audit
Education
New York State
Juris Doctor, 2004
New York State Supreme Court, Appellate Division
Bar admission
The George Washington University 2001 — 2004
JD, Law
The George Washington University Law School 2001 — 2004
JD, Law
University of Cambridge 1991 — 1991
M.A, History
University of Cambridge 1982 — 1985
BA, History
FINRA - Financial Industry Regulatory Authority 2008 - Present
Simple Leads 2013 - 2013
Financial Industry Regulatory Authority March 2011 - December 2011
Financial Regulatory Authority May 2008 - March 2011
LoganBritton, Inc. (Americo Insurance Co.) December 2007 - March 2008
Meridian Technologies (Wachovia Bank) May 2007 - December 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) February 2007 - April 2007
Wells Fargo Home Mortgage September 2006 - January 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) July 2006 - September 2006
Meridian Technologies (Wachovia Bank) October 2005 - July 2006
Skills
Requirements Gathering, Requirements Analysis, Requirements Management, Data Modeling, ETL, DB2, Informatica, Visio, Datastage, Business Intelligence, Oracle, Databases, Data Warehousing, Integration, SOA, Data Quality, Teradata
Education
The Johns Hopkins University 1983 — 1987
Masters of Science, Computer Science
University of Virginia 1975 — 1979
Bachelor of Science, Systems Engineering
Bursor & Fisher, P.A. September 2013 - Present
Bursor & Fisher, P.A. January 2013 - April 2013
U.S. District Court - S.D.N.Y. August 2012 - December 2012
Herzfeld & Rubin, P.C. May 2012 - August 2012
Financial Industry Regulatory Authority September 2011 - December 2011
U.S. District Court - D. Conn. May 2011 - August 2011
Octagon May 2010 - July 2010
Fortune Asset Management June 2008 - August 2008
Skills
Class Actions, Commercial Litigation, Legal Writing, Civil Litigation, Appellate Practice, Litigation, Legal Research, Corporate Finance, Westlaw, Lexis, Securities, Corporate Law, Courts, Litigation Support, Securities Regulation, Securities Litigation
Education
Brooklyn Law School 2010 — 2013
J.D., magna cum laude
The University of Connecticut School of Business 2006 — 2010
Bachelor of Science (BS), Finance
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Financial Industry Regulatory Authority April 2014 - Present
AYCO a Goldman Sachs Company June 2013 - Present
University at Albany School of Business Investment Group- UASBIG September 2013 - Present
Delta Sigma Pi January 2013 - Present
University at Albany
Skills
Public Speaking, PowerPoint, Research, Microsoft Excel, Microsoft Office, Microsoft Word, Customer Service, Social Media, Sports, Event Planning, Data Analysis, Time Management, Access, Facebook, Leadership, Fundraising, Community Outreach, Social Networking, Statistics, Teaching, Analysis, Risk Management, Portfolio Management, Strategy, Data Entry, Teamwork, Mutual Funds, Critical Thinking, Outlook, Bloomberg Terminal, Training, Event Management, Editing, Budgets, Marketing, Social Media Marketing, Public Relations, Coaching, Team Leadership, Sales, Management, Market Research, Administration, Strategic Planning, Higher Education, Windows, Project Management, Blogging, Entrepreneurship, Advertising
Education
State University of New York at Albany 2011 — 2015
Student, Financial Analyst
North Babylon High School 2007 — 2011
Tripwire October 2014 - Present
U.S. Secret Service May 2014 - December 2014
McCormick November 2013 - April 2014
Oracle August 2013 - September 2013
NOAA July 2013 - August 2013
Financial Industry Regulatory Authority May 2013 - August 2013
Johns Hopkins University Applied Physics Laboratory May 2013 - May 2013
Constellation Energy/Exelon July 2012 - May 2013
Verizon October 2012 - April 2013
Lockheed Martin August 2012 - March 2013
Skills
Databases, Systems Engineering, Computer Security, Security, Information Assurance, CISSP, Solaris, Network Security, System Architecture, Information Security, Integration, Penetration Testing, Linux, Enterprise Architecture, IT Operations, Security Operations, Computer Network..., Information Security..., Red Hat Linux, Oracle, Oracle Enterprise..., Oracle E-Business Suite, Oracle Applications, SunOS, Software Engineering, Software Project..., Technical Documentation, Technical Writing, Project Management, Proposal Writing, Change Management, Program Management, Veritas Volume Manager, Operating Systems, Systems Analysis, High Performance..., Storage Architecture, Cloud Computing, Virtualization, Microsoft Technologies, Global Operations, SAN, VMware, VMware Infrastructure, Aerospace Engineering, Cyber Defense, Large Systems..., Big Data, Unix, VMware ESX
Education
Towson University 2006 — 2010
Master of Science (M.S.), Computer Science
Towson University 1996 — 2001
Bachelor of Science (B.S.), Chemistry
University of Maryland Baltimore County 1993 — 1996
Chemistry and Physics
St. Paul's School 1986 — 1993
High School Diploma
CoreLogic January 2015 - Present
Legal & General November 2012 - December 2014
Wells Fargo Home Mortgage October 2011 - November 2012
Financial Industry Regulatory Authority November 2005 - April 2011
Skills
Financial Accounting, Accounts Payable, Accounts Receivable, Accounting, Mortgage Servicing, Loan Modifications, Sports Management, Sports Marketing, Sports Coaching, Account Reconciliation, Finance, Invoicing, Loans, Payments, PeopleSoft
Education
Towson University 1999 — 2003
Bachelor of Science (BS), Sports Management Major/Business Management Minor
University of Maryland June 2014 - Present
University of Maryland August 2012 - Present
Cisco June 2014 - August 2014
Financial Industry Regulatory Authority May 2013 - August 2013
University of Maryland August 2012 - May 2013
Skills
Python, R, Algorithms, Statistical Modeling, Social Network Analysis, Java, Machine Learning, C++, C, Matlab, Programming, Hadoop, LaTeX, Network Security, HTML, VBA, Probabilistic Models, Applied Probability, Web Application Security, JavaScript, jQuery, MySQL
Education
University of Maryland College Park 2011 — 2016
Doctor of Philosophy (PhD), Electrical and Electronics Engineering
The University of Hong Kong 2008 — 2011
Bachelor of Engineering (BEng), Information Technology
United States District Court for the Middle District of Pennsylvania May 2015 - Present
Fishman Haygood Phelps Walmsley Willis & Swanson, L.L.P. April 2013 - April 2015
Financial Industry Regulatory Authority July 2013 - August 2013
Essex County District Attorney's Office June 2012 - August 2012
Skills
Legal Writing, Westlaw, Legal Research, Administrative Law, Litigation, Corporate Law, Environmental Law, Securities Regulation
Education
Tulane University Law School 2011 — 2014
Juris Doctor
University of Notre Dame 2007 — 2009
Bachelor of Arts (B.A.), Political Science
University of Maryland College Park 2005 — 2006
Financial Industry Regulatory Authority 2007 - 2011
Education
The University of Texas at El Paso 1979 — 1983
BS, Business Mgmt/Marketing
Financial Industry Regulatory Authority October 1998 - Present
Skills
Analysis, Financial Services, FINRA, Securities, Business Analysis, SEC, Business Writing, Non-profits, Investments, AML, Broker-Dealer, Corporate Governance, Due Diligence, Fixed Income, Financial Risk, Leadership, Hedge Funds, Management, Nonprofits, Public Speaking, Risk Management, Securities Regulation, Series 63, Series 7, Training
Education
The Johns Hopkins University - Carey Business School 1999 — 2001
MBA, Corporate Financial Accounting, International Business Management
University of Southern California
BA, Romance Languages
Citigroup Global Markets Incorporated December 2014 - Present
Financial Industry Regulatory Authority November 2012 - December 2014
Lightspeed Financial October 2010 - November 2012
MOG Capital/Alphabet Funds May 2005 - September 2010
American Stock Exchange November 1991 - August 2008
The Bank of New York March 1986 - November 1991
Skills
Options, Financial Risk, Financial Markets, ETFs, Electronic Trading, Trading Systems, Finance, Portfolio Management, Trading, Sales, Investment Banking, Series 63, Equities, Hedge Funds, Bloomberg, Equity Trading, Risk Management, Trading Strategies, FINRA, Bonds, Series 7, Proprietary Trading, Securities, Mutual Funds, Derivatives, Fixed Income, Capital Markets, Commodity, FX Options, Strategic Planning, Technical Analysis, Asset Management, Hedging, FX trading, Equity Derivatives, Alternative Investments, Investments, Business Strategy, Financial Modeling, Management, Traders, Mergers & Acquisitions, Series 24, Financial Analysis, Start-ups, Investment Strategies, Entrepreneurship, Currency, Financial Services
Education
State University of New York at Buffalo 1979 — 1983
Bachelor of Science, Business Management
Financial Industry Regulatory Authority April 2013 - Present
Financial Industry Regulatory Authority June 2011 - April 2013
U.S. Chamber of Commerce October 2009 - June 2011
Catholic Charities USA June 2009 - July 2009
The Susan Hicks Group, P.C. August 2005 - July 2008
Family Legal Assistance Project February 2006 - August 2007
Department of Justice, Bureau of Justice Assistance June 2004 - August 2004
Education
The Catholic University of America, Columbus School of Law 2007 — 2010
Juris Doctor
Virginia Polytechnic Institute and State University 2001 — 2005
Bachelor of Science
Fitch Ratings January 2015 - Present
EV Consulting CJSC February 2014 - July 2014
Financial Industry Regulatory Authority September 2013 - December 2013
Education
University of California, Berkeley
Bachelor of Arts, Political Science and Government
La Canada High School, California
Federal Reserve Bank of New York September 2014 - Present
The Wharton School September 2013 - Present
Amazon August 2013 - September 2013
Federal Reserve Bank of New York May 2013 - August 2013
Financial Industry Regulatory Authority May 2012 - August 2012
National Research Center, Inc. May 2012 - July 2012
Global Marketing Associates October 2011 - May 2012
Course Hero, Inc. October 2011 - April 2012
UPenn & Wharton Venture Community May 2011 - January 2012
Cadwalader, Wickersham & Taft LLP May 2011 - August 2011
Skills
Research, Marketing, PowerPoint, Microsoft Excel, Microsoft Office, Data Analysis, Social Media, Economics, Financial Markets, Liquidity Risk, Public Policy, Public Speaking, Statistics
Education
University of Pennsylvania 2010 — 2014
B.A., Politics, Philosophy & Economics (PPE)
The Chinese University of Hong Kong 2012 — 2013
Saint Ann's School 1997 — 2010
Financial Industry Regulatory Authority June 2013 - Present
W.J. Mayer & Co. March 2013 - May 2013
East Coast Grill May 2012 - August 2012
Greenwich Running Company May 2011 - August 2011
Engineers Without Borders USA, Tufts University Branch September 2010 - May 2011
Greenwich Ear, Nose and Throat May 2009 - June 2009
Skills
Stata, Economics, Data Analysis, Statistics, Matlab, Financial Modeling, Research, Quantitative Research, Microsoft Excel, Econometrics, Mathematics, PowerPoint, Visual Basic, AutoCAD, Advanced French, Dual Citizen -..., Fundraising, Analysis
Education
Tufts University 2009 — 2013
Bachelor of Arts (BA), Economics, minor Mathematics
Greenwich High School 2005 — 2009
Financial Industry Regulatory Authority December 2011 - Present
GOLDMAN SACHS EXECUTION AND CLEARING (GSEC) December 2008 - September 2011
GOLDMAN, SACHS & CO December 2007 - November 2008
GOLDMAN, SACHS & CO January 1997 - January 2007
Education
The College of New Jersey 1995 — 1999
Bachelor of Arts, Spanish
Financial Industry Regulatory Authority 2006 - Present
University of South Florida 2007 - 2012
Day, Berry & Howard LLP 1970 - 2005
Skills
Mediation, Higher Education, Legal Writing, Public Speaking, Legal Research, Strategic Planning, Research, Contract Negotiation, Small Business, Management Consulting, Litigation, Corporate Governance, Due Diligence, Licensing, Corporate Law, Administrative Law, Negotiation, Mergers & Acquisitions, Entrepreneurship, Strategy, Energy, Leadership, Management, Microsoft Office
Education
Cornell University
Bachelor of Arts (B.A.), English Language and Literature/Letters
The University of Connecticut School of Law
Doctor of Law (JD)
T. Rowe Price August 2014 - Present
Morgan Stanley June 2013 - August 2014
Campbell and Company June 2005 - June 2013
Financial Industry Regulatory Authority March 2003 - June 2005
Legg Mason August 1997 - March 2003
Skills
Fixed Income, Trading, Electronic Trading, Equities, Trading Systems, Securities, Risk Management, Trading Strategies, Investments, SQL, Hedge Funds, Integration, Bloomberg, Data Analysis, Alternative Investments
Education
University of Baltimore
Master of Science, Business/Finance
University of Maryland Baltimore County
Bachelor or Arts, Economics/Finance & Management Science
Financial Industry Regulatory Authority December 2012 - Present
H.D. Vest Financial Services December 2011 - November 2012
New York Life Insurance Company September 2006 - November 2010
Advanced Planning Consultant March 2004 - September 2006
ING North American Life Insurance Corporation November 2000 - March 2004
Katz, Look and Moison July 1998 - October 1999
GOMEL & DAVIS, LLC, Attorneys June 1996 - July 1998
Skills
Estate Planning, Retirement Planning, Life Insurance, Business Planning, Insurance, Series 24, Securities, Strategic Financial..., FINRA, Trusts, Financial Advisory, Series 7, Investment Advisory, Corporate Governance, Series 63, Wealth Management, Tax, Contract Negotiation, Management, Investment Advisers Act
Education
University of Denver College of Law 1995 — 1996
Master of Laws, Taxation
University of Arkansas School of Law, Fayetteville 1992 — 1995
JD
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Financial Industry Regulatory Authority July 2013 - July 2014
Paddy's on the Bay May 2011 - May 2013
Celgene June 2012 - August 2012
Paddy Doherty's Ale House September 2005 - March 2012
Throggs Neck Benevolent Association September 2006 - September 2009
New York Athletic Club June 2006 - August 2007
Skills
Hospitality, Food, Time Management, Leadership, Organization, Analysis, Microsoft Office, Microsoft Word
Education
State University of New York at Albany 2009 — 2013
University at Albany, The State University of New York 2009 — 2013
Bachelor, Business Administration; Finance/ Marketing
M Squared Consulting August 2015 - Present
Self Employed June 2015 - Present
World Bank Group August 2013 - June 2015
Financial Industry Regulatory Authority May 2011 - July 2013
Office of the Attorney General January 2011 - May 2011
The Asian Pacific American Legal Resource Center May 2010 - December 2010
Indiabulls May 2009 - August 2009
Urbana Adult Ed August 2007 - May 2009
Northwestern Mutual May 2007 - August 2007
Skills
Research, Data Analysis, Financial Analysis, Report Writing, Legal Research, Legal Compliance, Legal Writing, Litigation, Public Policy, Policy Analysis, Economics, International Law
Education
The George Washington University Law School 2009 — 2012
Doctor of Law (JD), Law
University of Illinois at Urbana-Champaign 2005 — 2009
Bachelor of Arts (B.A.), Economics, Mathematics
Illinois Mathematics and Science Academy
Wenig LaMonica Associates Agency October 2009 - Present
Major League Baseball June 2008 - September 2008
City of Yonkers May 2007 - August 2007
British American Taxation January 2005 - May 2005
Financial Industry Regulatory Authority May 2004 - September 2004
Skills
Corporate Law, Event Management, Music, Legal Writing, Litigation, Entertainment, Talent Booking, Legal Research, Civil Litigation, Editing, Employment Law, Intellectual Property, Blogging, Westlaw, Social Media Marketing, Entertainment Law, Contract Negotiation, Event Planning, Marketing
Education
University of Massachusetts School of Law
JD, Law
The George Washington University
B.A., History
Syracuse University
Financial Industry Regulatory Authority October 2013 - Present
Erickson Living September 2011 - October 2013
Trex Company June 2010 - July 2011
CGI 2007 - 2010
Freddie Mac August 2005 - July 2007
Skills
Market Pricing, Salary Surveys, Job Evaluation, Salary Administration, FLSA, Executive Compensation, Bonus, Job Analysis, Incentive Programs, Salary, Incentives, Sales Compensation, Compensation, Job Descriptions, Performance Appraisal, Deferred Compensation, Executive Pay, HRIS, Employee Relations, Employee Benefits
Education
University of Maryland University College 2009 — 2011
Master, Business Administration
University of Alabama at Birmingham 2000 — 2004
Bachelors, Business Administration
Red Hat June 2014 - Present
Red Hat December 2013 - April 2014
Pratl Technologies, LLC January 2011 - April 2014
GROUNDFLOOR Finance December 2013 - December 2013
RocketBolt September 2013 - December 2013
US Securities and Exchange Commission January 2013 - May 2013
Financial Industry Regulatory Authority August 2012 - December 2012
Accelerence, LLC May 2012 - September 2012
Daniel O. Klinedinst, LP August 2009 - August 2010
Skills
Corporate Governance, Securities Regulation, Trademark Infringement, Copyright Infringement, Patent preparation, Risk Analysis, Risk Management, Intellectual Property, Social Entrepreneurship, Product Liability, Corporate Branding, Marketing Strategy, General Operations, Westlaw, Big Data, Entrepreneurship, Venture Capital, Strategic Planning, Business Strategy, Marketing, Strategy, Management
Education
Duke University 2013 — 2014
Masters of Law (LLM), Business & Entrepreneurship
Rutgers University School of Law - Camden 2010 — 2013
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law, Plumbum Nos in Posterus Scholar
Università degli Studi di Firenze / University of Florence 2011 — 2011
International Comparative Commercial Law Program, UCC/CISG Commercial Codes
Appalachian State University 2006 — 2010
Bachelor's degree, Political Science and Social Policy; Heltzer Honors Program - Justice Studies, Cum Laude
Cardinal Gibbons HS 2002 — 2006
Raleigh, NC
PwC December 2014 - Present
Financial Industry Regulatory Authority September 2013 - November 2014
US Securities and Exchange Commission July 2012 - August 2012
U.S. Government Accountability Office May 2012 - June 2012
The Public Purpose: An Interdisciplinary Journal November 2011 - April 2012
U.S. International Trade Commission September 2011 - December 2011
Tulane University August 2009 - March 2011
Skills
Regulatory Compliance, Internal Controls, FINRA and SEC Rules, Operational Risk, Broker-Dealer Operations, Risk Assessment, Investigations, KYC, External Audit, Process Improvement, Strategic Public..., Federal Government, Project Management, Analysis, Teamwork, Microsoft Excel
Education
American University - School of Public Affairs 2011 — 2013
MPA
University of Southern Mississippi 2008 — 2009
MS
Xavier University of Louisiana 2004 — 2008
Bachelor of Science, Psychology, Mass Communication Minor
McGladrey May 2015 - Present
Financial Industry Regulatory Authority May 2013 - Present
Aquarian Capital, LLC 2011 - April 2013
Pepperwood Partners March 2011 - October 2011
JPMorgan Chase March 2010 - March 2011
Bloomberg Terminal at UTD June 2009 - March 2010
FXCM May 2009 - August 2009
Skills
Customer Service, Bloomberg, Finance, Research, Retail, Database Administration, Foreign Exchange, Marketing, Analysis, Capital Markets
Education
The University of Texas at Dallas 2008 — 2012
B.S, Finance and Economic
The University of Texas at Dallas 2008 — 2012
B.S, Finance and Economics
University of Texas at Dallas - Naveen Jindal School of Management 2008 — 2012
Bachelor of Science, Finance, Economics, Public Relation
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Financial Industry Regulatory Authority June 2008 - Present
NASD December 2004 - January 2008
Chessiecap, Inc. June 2003 - December 2004
The Adrenaline Group 2000 - 2003
IBM June 1997 - January 2000
Skills
Architecture, Enterprise Architecture, Strategic Planning, Scalability, IT Transformation, Cloud Computing
Education
The Johns Hopkins University
MS, Computer Science
University of Maryland College Park
BS, Computer Science
SaxBST October 2013 - Present
Financial Industry Regulatory Authority May 2013 - August 2013
Wells Fargo June 2012 - May 2013
Ford Motor Company May 2011 - August 2012
Paulsen Development Company May 2006 - March 2010
Skills
Accounting, Analysis, Team Leadership, Microsoft Excel, Sales, Public Speaking, Financial Analysis, Management, Research, Customer Service, Fraud Detection, Financial Markets, Stock Market, Music, Auditing, QuickBooks, Finance, Financial Reporting
Education
State University of New York at Albany 2014 — 2015
Master's Degree, Forensic Accounting, Concentration in Finance
State University of New York at Albany 2010 — 2014
Bachelor's Degree, Accounting, 3.86 - Summa Cum Laude
Protiviti January 2014 - Present
Financial Industry Regulatory Authority March 2011 - December 2013
Social Security Administration April 2010 - March 2011
Johns Hopkins University Advanced Academic Programs (AAP) February 2009 - January 2010
Infosys Technologies Ltd December 2005 - July 2008
Skills
Application Security, Penetration Testing, Security, Web Application Security, Information Security, Vulnerability Assessment, JSP, Computer Security, Java, Databases, Vulnerability Management, Information Security..., Code Review, Java Enterprise Edition, Intrusion Detection, Network Security, Computer Forensics, Web Applications, Nmap, Identity Management, Cryptography, J2EE, Web Application..., Application Security..., CISSP
Education
The Johns Hopkins University 2008 — 2009
Masters of Science, Information Security
Sir M Visvesvaraya Institute Of Technology 2001 — 2005
Bachelors of Science, Electronics and Communications
Jefferies August 2015 - Present
Financial Industry Regulatory Authority May 2014 - August 2014
Zeta Beta Tau Fraternity January 2014 - May 2014
Financial Industry Regulatory Authority May 2013 - August 2013
Zeta Beta Tau Fraternity January 2013 - May 2013
Hertz, Herson & Company, LLP May 2012 - August 2012
Joseph L. Gil, CPA, P.C. February 2011 - August 2011
PYA Sports September 2008 - March 2011
Education
Tulane University - A.B. Freeman School of Business 2011 — 2015
Bachelor's of Science in Finance, Finance
Paul D. Schreiber High School 2007 — 2011
GliaCell Technologies 2015 - Present
Financial Industry Regulatory Authority August 2011 - 2015
Near Infinity Corporation February 2008 - August 2011
BAE Systems IT 2006 - 2008
Solers 2004 - 2006
Skills
Spring, Java Enterprise Edition, Java, Hadoop, REST, Ruby on Rails, Ant, Hibernate, Ruby, Git, Tomcat, Agile Methodologies, Distributed Systems, Agile Project Management, Software Engineering, Subversion, JUnit, Software Design, Maven, Scrum, Hive, Apache Pig, Encryption, Scala
Education
The Johns Hopkins University 2001 — 2003
MS, Information Systems
University of Maryland College Park 1984 — 1989
BA, Economics
Financial Industry Regulatory Authority May 2013 - Present
Lessings Inc. May 2012 - Present
University at Albany March 2011 - May 2013
Financial Industry Regulatory Authority May 2012 - August 2012
Education
State University of New York at Albany 2010 — 2013
BS Business Administration, Finance Analysis Honors
The Optical Society June 2013 - Present
AAAE October 2007 - June 2013
Financial Industry Regulatory Authority July 2001 - October 2007
IPMA-HR January 2000 - July 2001
Water Environment Federation April 1998 - January 2000
IPMA-HR July 1995 - April 1998
Skills
Meeting Planning, Event Management, Trade Shows, Marketing Communications, Email Marketing, Public Relations, Budgets, Contract Negotiation, Proficient in Microsoft..., Proficient in Cisco..., Management, Marketing Strategy, Hotels, Program Management
Education
Certified Meeting Professional (CMP), Convention Industry Council
The George Washington University
Professional Certificate in Event Management
Financial Industry Regulatory Authority October 2013 - Present
Troutman Sanders LLP September 2003 - August 2012
Troutman Sanders LLP 1999 - 2000
Harkins Cunningham LLP 1995 - 1999
Skills
Litigation, White Collar Criminal..., Civil Litigation, Legal Research, Legal Assistance
Education
The Catholic University of America, Columbus School of Law
JD
University of Maryland College Park 1993 — 1995
B.A., Criminal Justice
RDA July 1995 - Present
Microsoft November 2008 - January 2010
FINRA June 2006 - April 2008
Microsoft March 2005 - February 2006
College Board January 2005 - March 2005
T. Rowe Price June 2004 - December 2004
McCracken Financial Software 2003 - 2004
Nasdaq 2000 - 2001
Financial Industry Regulatory Authority 1998 - 2000
Sallie Mae 1997 - 1998
Skills
C#, ASP.NET, ASP.NET MVC, PMP, JavaScript, jQuery, HTML, CSS, SQL, Business Analysis, Web Development, Microsoft SQL Server, HTML 5, OOAD, .NET, Mobile Applications, SharePoint, Windows Azure, Data Warehousing, Software Project..., Software Development, Visual Studio, SOA, Web Applications, Enterprise Architecture, Visual Basic, Java, Agile Methodologies, AngularJS
Education
The Ohio State University 1986 — 1990
BSEE, Electrical Engineering
Financial Industry Regulatory Authority August 2011 - Present
FINRA August 2009 - August 2011
FINRA August 2005 - August 2009
FINRA July 2003 - August 2005
Ernst & Young July 2001 - July 2003
Ernst & Young July 1999 - July 2001
Skills
Financial Services, Strategy, Financial Analysis, Program Management, Corporate Communications, Internal Communications, Change Management, Project Management, Strategic Planning, Process Improvement, Business Analysis, Business Strategy, FINRA, Strategic Communications, Finance, Management, Risk Management
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2005
MBA
The George Washington University - School of Business
BA, Finance, International Business
Financial Industry Regulatory Authority August 2012 - December 2012
House Committee on the Judiciary May 2012 - August 2012
Cubist Pharmaceuticals June 2011 - August 2011
Office of US Senator John E. Sununu June 2008 - September 2008
Education
Washington University in St. Louis School of Law 2010 — 2013
Doctor of Law (JD)
Union College 2005 — 2009
BA, Political Science
St. Mark's School 2001 — 2005
Financial Industry Regulatory Authority December 2012 - Present
Foley & Lardner LLP 2006 - November 2012
Skills
Litigation, Commercial Litigation, Civil Litigation, Class Actions, Appeals, Arbitration, Legal Research, Legal Writing, Securities Litigation, Mediation
Education
The George Washington University Law School 1994 — 1997
JD, Law
University of Illinois Urbana-Champaign 1989 — 1993
BA, Economics
University of Illinois at Urbana-Champaign 1989 — 1993
BA, Economics
Financial Industry Regulatory Authority July 2011 - Present
T. Rowe Price June 2010 - July 2011
T. Rowe Price March 2008 - June 2010
T. Rowe Price November 2007 - March 2008
T. Rowe Price June 2007 - November 2007
Skills
Compliance, Fixed Income, Municipal Bonds, Mutual Funds, Equities, Retirement Planning, Management, Recruiting, Client Liaison, Economics, Strategic Planning, Finance, Data Analysis, Investor Relations, Sales, Series 7, Series 63, Series 6, Series 66, FINRA, Securities, Securities Regulation, Financial Regulation, AML, Uniform Combined State...
Education
Towson University 2002 — 2007
Bachelor of Applied Science (B.A.Sc.), Economics and Business Administration
RBC Wealth Management January 2013 - Present
Financial Industry Regulatory Authority November 2012 - May 2013
Media Kids Academy March 2012 - October 2012
Financial Industry Regulatory Authority October 2011 - December 2011
The Clara Barton Summer fun Center May 2009 - July 2011
The University of Texas at Austin August 2010 - May 2011
The University of Texas at Austin May 2010 - May 2011
The University of Texas at Austin January 2010 - May 2011
The University of Texas at Austin January 2010 - May 2011
Skills
Microsoft Excel, Microsoft Office, Research, PowerPoint, Microsoft Word, Data Analysis, Public Speaking, Social Media, Customer Service, Event Planning, Social Networking, Facebook, Event Management, Advertising, Budgets, Management
Education
The University of Texas 2007 — 2011
Bachelor of Arts, Economics
The University of Texas at Austin 2007 — 2011
Bachelors, Economics
Financial Industry Regulatory Authority July 2012 - Present
University at Albany September 2010 - December 2011
Financial Industry Regulatory Authority May 2011 - August 2011
Skills
Research, PowerPoint, Microsoft Excel, Microsoft Office, Microsoft Word, Access, FINRA, Accounting, Investments, Public Speaking, Securities, Internal Controls, Risk Management, Financial Risk
Education
State University of New York at Albany 2009 — 2012
BA, BS, Economics, Financial Market Regulation
Wesleyan University 2006 — 2008
Economics
Milton Academy 2002 — 2006
Amazon February 2015 - Present
Financial Industry Regulatory Authority June 2010 - February 2015
MS Technologies Corporation November 2009 - May 2010
Army Command Headquarters July 2007 - June 2008
National Nano Devices Laboratories September 2005 - June 2007
ITRI July 2003 - August 2003
Skills
SQL, C#, Algorithms, Java, SOA, Agile Methodologies, C++, Linux, Requirements Analysis, C, MySQL, Test Automation, Project Management, Business Analysis, Unix, Machine Learning, Multithreading, JavaScript
Education
The Johns Hopkins University 2008 — 2009
MS, Electrical and Computer Engineering
National Chiao Tung University Hsinchu, Taiwan 2003 — 2007
B.S, Electronic Engineering
nehs
Rudman Winchell August 2012 - Present
Cyber Security Policy and Research Institute September 2011 - May 2012
Boy Scouts of America October 2005 - May 2012
U.S. Department of Justice May 2011 - July 2011
Financial Industry Regulatory Authority May 2010 - August 2010
R&B Window Washers May 2006 - August 2010
The Honorable Mitchell W Brown May 2009 - July 2009
The White House December 2008 - December 2008
Nu Skin Enterprises October 2007 - April 2008
Sichuan Engineering Technical College August 2004 - August 2005
Skills
Fiscal Management, Research, Grants Administration, Website Management, Legal Research, Legal Writing, Cyber Security, Leadership Development, Academic Writing, Excel, PowerPoint, Scarborough, Dreamweaver, LexisNexis, Chinese, Cantonese, Event Planning, Event Management, Photoshop, Sponsorship Strategy, Sponsorship Acquisition, Event Marketing, Public Speaking, Government, Strategic Planning, Time Management, Editing, Teamwork, Analysis, Training, Market Research, Program Management, Leadership, Commercial Litigation, Microsoft Excel, Sponsorship
Education
The George Washington University - School of Business 2010 — 2012
MBA, International Business
The George Washington University Law School 2008 — 2012
JD, International Business Law, China Law
Brigham Young University 2000 — 2008
B.A. Chinese, Minor English Literature, Chinese, English Literature
State Farm Claim Representative/Policy AnalystState FarmFebruary 2013 - Present
State Farm Insurance March 2011 - February 2013
Financial Industry Regulatory Authority March 2010 - February 2011
Office of the Majority Whip September 2007 - September 2008
Skills
Public Policy, Insurance, Policy Analysis, Property & Casualty..., Claim, Data Analysis, Liability, Political Science, Call Centers, Political Communication, Political Consulting, Health Insurance, Communication
Education
University of Maryland University College 2013 — 2016
Master of Science (MS), Accounting and Finance
The George Washington University 2006 — 2008
Bachelor of Arts (BA), Political Science and Government
NOAA: National Oceanic & Atmospheric Administration April 2014 - Present
George Mason Mortgage, LLC June 2013 - September 2013
Waste Management July 2012 - July 2013
Financial Industry Regulatory Authority October 2011 - 2012
Skills
CRM, Management, Access, Software Documentation, Sales, Customer Satisfaction, Analysis, Time Management, Customer Service, Selling, Data Entry, Customer Retention, Data Analysis, Negotiation, Financial Analysis
Education
Towson University 2008 — 2011
Bachelor of Science (BS), Sports Management
Contactually July 2015 - Present
Bankey & Co June 2015 - Present
Opower April 2013 - May 2015
Opower July 2010 - March 2013
MorganFranklin Corporation October 2009 - July 2010
Public Company Accounting Oversight Board September 2008 - December 2008
Financial Industry Regulatory Authority April 2008 - August 2008
US Securities and Exchange Commission January 2008 - April 2008
Buchanan Ingersoll May 2007 - December 2007
Deloitte & Touche January 2003 - July 2006
Skills
Accounting, SEC reporting, Mergers, Financial Reporting, SOX, Due Diligence, Compliance, Internal Controls, Excel, Microsoft Office, Financial Analysis, Risk Management, Auditing, Budgeting, Research, Securities Law, Startup Consulting, Securities Offerings, SEC filings, Sarbanes-Oxley Act, Private Equity, Start-ups, Mergers & Acquisitions, Management, Financial Accounting, Budgets, Microsoft Excel, Securities Regulation, Strategy, US GAAP, Finance, SaaS, SEC Filings
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
JD
University of Notre Dame 1998 — 2002
BBA
Financial Industry Regulatory Authority February 2011 - Present
TalentKey January 2005 - Present
Fannie Mae October 2005 - December 2010
Freddie Mac February 2002 - September 2005
Intersect Software January 2001 - February 2002
MicroStrategy January 2000 - January 2001
Skills
SDLC, Data Warehousing, Business Analysis, Business Intelligence, ETL, Data Modeling, Enterprise Architecture, Requirements Analysis, Software Project..., Agile Methodologies, IT Strategy, Requirements Gathering, SQL, Software Development, Integration, Oracle, Big Data, Hadoop
Education
Virginia Polytechnic Institute and State University 2001 — 2003
Master, Computer Science
Tsinghua University 1994 — 1999
Bachelor, Computer Science
Invesco April 2007 - Present
Charles Schwab & Co., Inc. August 2006 - April 2007
Financial Industry Regulatory Authority August 2003 - April 2006
Skills
Mutual Funds, Investments, Series 7, FINRA, Financial Services, ETFs, Insurance, SEC, Institutional..., Securities, Series 24, Sales, Hedge Funds, Alternative Investments, Series 63, Asset Management, Equities, Private Equity, Securities Regulation
Education
The University of Texas at Austin 1992 — 1996
Bachelor of Arts (B.A.), Asian Studies/Civilization
Shiver Information Technology Services, Inc. (HUD contractor) June 2013 - Present
ICF International June 2010 - Present
Financial Industry Regulatory Authority 2004 - 2008
Skills
SDLC, Business Analysis, Data Warehousing, Business Intelligence, SQL, Requirements Analysis, Enterprise Architecture, SAS, Data Analysis, Databases, Requirements Gathering, IT Strategy, Unix, Business Process..., SAS BI
Education
University at Albany, SUNY 1987 — 1993
Ph.D
State University of New York at Albany
PH.D and MPA
Financial Industry Regulatory Authority May 2012 - Present
Morgan Stanley June 2004 - May 2012
Skills
Financial Analysis, Risk Management
Education
New York University - Leonard N. Stern School of Business 2007 — 2010
MBA, Finance
The George Washington University 2000 — 2004
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
Financial Industry Regulatory Authority September 2013 - May 2015
OPPENHEIMER & COMPANY November 2007 - September 2013
Education
The Johns Hopkins University - Carey Business School 2006 — 2007
Master of Business Administration, Finance
Chaminade High School
Graduate Certificate, Financial Management
Stony Brook University
Bachelor of Arts, Psychology and Social Sciences
LPL Finanical March 2012 - Present
Financial Industry Regulatory Authority September 2005 - February 2012
Arnold & Porter August 2000 - August 2005
Federal Trade Commission March 1998 - July 2000
Skills
Litigation, Competition Law, Securities, Securities Regulation, Antitrust Law, Antitrust Counseling, Financial Regulation, Legal Compliance, FINRA, Financial Services, Corporate Governance, Criminal Law, Corporate Law, Securities Litigation, FCPA, Legal Research, Legal Writing, Trade Secrets
Education
The George Washington University Law School 1992 — 1995
Doctor of Law (J.D.)
University of Massachusetts, Amherst 1988 — 1992
Bachelor of Business Administration (B.B.A.), Marketing
(Self Employed) January 2013 - Present
Financial Industry Regulatory Authority June 2011 - December 2012
Wells Fargo May 2007 - May 2011
Wells Fargo May 2005 - May 2007
Wells Fargo December 2003 - July 2005
Wells Fargo Bank July 2003 - December 2003
University of Texas at Dallas September 2002 - May 2003
Skills
Certified Fraud Examiner, Process Improvement, Business Analysis, Financial Analysis, Risk Management, Risk Assessment, Visio, Analysis, Budgets, Vendor Management, Program Management, Banking
Education
The University of Texas at Dallas 2001 — 2003
Bachelor's degree, Economics & Finance
University of North Texas 1999 — 2001
Financial Industry Regulatory Authority April 2010 - Present
Ausdal Financial Partners April 2006 - March 2010
NASD November 1999 - April 2006
Skills
Investments, Bank Secrecy Act, USA PATRIOT Act, FINRA, Financial Analysis
Education
The University of Kansas 1994 — 1998
B.S., Accounting and Business Administration
Winthrop & Weinstine. P.A. March 2015 - Present
Arent Fox October 2014 - Present
Winthrop & Weinstine September 2011 - October 2014
U.S. Securities and Exchange Commission January 2011 - May 2011
Financial Industry Regulatory Authority August 2010 - November 2010
Nelson, Mullins, Riley & Scarborough LLP March 2010 - June 2010
U.S. District Court for the Northern District of Illinois May 2009 - August 2009
Education
The George Washington University Law School 2008 — 2011
J.D. with honors
University of North Carolina at Chapel Hill 2002 — 2006
A.B., Journalism and Mass Communication (News/Editorial) and Political Science
Financial Industry Regulatory Authority 2006 - Present
Duane Morris LLP November 2007 - January 2008
Self Employed Attorney May 2002 - August 2006
Barnes & Thornburg LLP July 1999 - April 2002
Education
University of Michigan
The John Marshall Law School
Doctor of Law (J.D.)
Financial Industry Regulatory Authority June 2011 - Present
PAE 2010 - June 2011
The Meltzer Group June 2007 - June 2009
Hanley Wood August 2005 - June 2007
Discovery Communications November 2000 - April 2005
T. Rowe Price August 1998 - October 2000
Montgomery County 1995 - 1996
Skills
Employee Benefits, Employee Relations, 401k, Benefits Administration, HRIS, Applicant Tracking..., Deferred Compensation, Human Resources, Onboarding, PeopleSoft, Succession Planning, Workforce Planning, ADP Payroll, Leadership, Talent Acquisition, Strategic Planning, Management, Retirement, New Hire Orientations, Performance Management, Executive Pay
Education
Towson University 1993 — 1995
Bachelor of Science, Sociology
ASEA April 2013 - Present
Nothing In Between, LLC March 2011 - Present
Trinity Washington University August 2006 - Present
Financial Industry Regulatory Authority May 2006 - January 2014
Education
The Johns Hopkins University - Carey Business School 1999 — 2001
MBA
The George Washington University 1989 — 1991
Bachelor of Arts (BA), Business Administration and Management, General
Financial Industry Regulatory Authority August 2013 - Present
US Securities and Exchange Commission March 2012 - August 2013
US Securities and Exchange Commission September 2010 - March 2012
US Securities and Exchange Commission July 2007 - September 2010
US Securities and Exchange Commission September 2004 - July 2007
Thacher Proffitt & Wood LLP 2003 - 2004
Goodwin Procter LLP 2001 - 2003
Skills
Securities Regulation
Education
The George Washington University Law School 1998 — 2001
JD, Law
UCL 1992 — 1995
Repton 1990 — 1992
English, Latin and History
Oakham 1987 — 1990
Your Local Cousin January 2015 - Present
Dress Jack May 2014 - December 2014
Crispy Waffle & Frite, LLC. June 2011 - July 2013
Road Stoves June 2010 - September 2010
Bear Stearns December 2006 - October 2008
Financial Industry Regulatory Authority June 2004 - November 2006
Financial Industry Regulatory Authority (FINRA) June 2003 - August 2003
Scholastic June 2002 - August 2002
Merrill Lynch June 2001 - August 2001
Skills
Financial Modeling, Valuation, Private Equity, Financial Analysis, Mergers, Business Strategy, Corporate Finance, Strategy, Competitive Analysis, Due Diligence, Venture Capital, Capital Markets, Entrepreneurship, Investment Banking, Investments, Mergers & Acquisitions, Marketing
Education
University of California, Los Angeles - The Anderson School of Management 2009 — 2011
Master of Business Administration (MBA), Marketing
New York University - Leonard N. Stern School of Business 2000 — 2004
Bachelor of Science (BS), Finance, General
Financial Industry Regulatory Authority September 2013 - Present
Financial Industry Regulatory Authority April 2012 - October 2013
Vinson & Elkins LLP September 2004 - April 2012
The Honorable Barefoot Sanders, US District Court, ND Tex August 2003 - August 2004
Skills
Commercial Litigation, Litigation, Securities Litigation, Trial Practice, Securities, Professional Liability, Legal Writing, Fraud, Estate Planning, Dispute, Courts, Corporate Law, Breach Of Contract
Education
The University of Texas School of Law 2000 — 2003
Doctor of Law (JD), Law
The University of Texas at Austin 1998 — 2000
Master of Science (M.S.), Community and Regional Planning
The University of Texas at Austin 1994 — 1998
Bachelor of Arts (B.A.), Anthropology
T. Rowe Price August 2006 - Present
Premier Solutions Group August 2005 - August 2006
Sheppard Pratt January 2005 - May 2005
Financial Industry Regulatory Authority May 2004 - October 2004
Skills
Business Analysis, SDLC, Requirements Analysis, Testing, User Acceptance Testing, Crystal Reports, Microsoft Office, HTML, Customer Relations, Excel, PowerPoint, SQL, Requirements Gathering, Visio, SharePoint, Process Engineering, Systems Analysis, Data Analysis, MS Project, Analysis, Documentation, Process Improvement, Business Intelligence, Word, Quality Assurance, Bloomberg, Integration, Access, Compliance, Problem Solving, Outlook, Technical Writing, Data Warehousing, Software Documentation
Education
Towson University 2001 — 2005
Bachelor of Science, Business Administration and Information Technology
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
NJIT Enterprise Development Center May 2009 - Present
Leadership New Jersey 2008 - Present
National Center for Dispute Settlement January 2007 - Present
Einstein's Alley Corporation 2007 - Present
Financial Industry Regulatory Authority January 2005 - Present
George Washington University School of Engineering National Advisory Council 2005 - Present
Council of Better Business Bureaus January 2003 - Present
Technology Management Associates September 1997 - Present
New Jersey Entrepreneurial Network 1997 - Present
RES Partners 2009 - December 2012
Skills
Cleantech, Business Strategy, Mergers, Venture Capital, Start-ups, Entrepreneurship, Business Development, Strategic Planning, New Business Development, Mergers & Acquisitions, Investments, Financial Analysis, Due Diligence, Management Consulting, Portfolio Management, Strategy, Strategic Partnerships, Corporate Development, Executive Management, Marketing, Marketing Strategy, Business Planning, Private Equity, Consulting, Leadership, Program Management, Cross-functional Team..., Product Management, Contract Negotiation, Management, Competitive Analysis, Product Development, Market Research, International Business, Change Management
Education
The George Washington University
BS Engineering, electronic engineering
University of Michigan - Stephen M. Ross School of Business
MBA with distinction, International business
Financial Industry Regulatory Authority December 2011 - Present
Financial Industry Regulatory Authority November 2008 - December 2011
Financial Industry Regulatory Authority March 2004 - November 2008
National Association of Securities Dealers May 2002 - August 2002
Education
University of Baltimore School of Law 2007 — 2011
Juris Doctor, Business Law
Towson University 1999 — 2003
Bachelor of Science, Business Administration
Mark E. Nowicki, Attorney at Law February 2008 - Present
Financial Industry Regulatory Authority April 1990 - February 2008
Skills
Securities Regulation, Litigation, Legal Research, Securities Litigation, Legal Writing, Securities, Arbitration, Financial Regulation, Civil Litigation, Dispute Resolution, Mediation, FINRA, Class Actions
Education
The John Marshall Law School 1981 — 1984
Doctor of Law (J.D.)
De Paul University, Chicago, Illinois 1974 — 1978
Bachelor of Arts (B.A.), History
Financial Industry Regulatory Authority May 2013 - Present
Office of Financial Research, U.S. Department of the Treasury November 2012 - May 2013
Office of Financial Research, U.S. Department of the Treasury November 2011 - May 2013
US Securities and Exchange Commission January 2010 - November 2011
United States Securities and Exchange Commission March 2008 - December 2009
US Securities and Exchange Commission March 2008 - December 2009
US Securities and Exchange Commission September 2004 - February 2008
SMU Cox School of Business August 1993 - July 1998
Skills
Economics, Finance, Research, Corporate Governance, Securities, Valuation, Analysis, Management, Risk Management, Derivatives, Corporate Finance, Financial Modeling, Financial Analysis, Financial Markets, Strategy, Investments, Capital Markets, Financial Risk, Econometrics, Equities, Accounting, Hedge Funds, Financial Regulation, Public Policy, Quantitative Analytics, Mergers & Acquisitions
Education
The University of Chicago 1985 — 1993
Ph.D., Finance
The Ohio State University 1980 — 1984
BA, Economics
Independent Consultant May 2015 - Present
Audubon Naturalist Society October 2014 - April 2015
Independent Consultant October 2013 - September 2014
Howard Hughes Medical Institute December 2011 - October 2013
Booz Allen Hamilton December 2010 - December 2011
National Institutes of Health December 2009 - December 2010
American College of Cardiology May 2003 - October 2009
Amtrak January 2001 - October 2002
Financial Industry Regulatory Authority June 1992 - December 2000
Skills
Managerial Finance, Financial Analysis, Strategic Financial..., Financial Modeling, Financial Reporting, Strategic Planning, Budgets, Business Planning, Governance, Risk Management, Corporate Finance, Management Consulting, Entrepreneurship, Internal Controls, Nonprofits, Finance, Strategy, Capital Budgeting, Change Management, Business Case, Business Intelligence, Balanced Scorecard, Enterprise Risk..., Investments, Non-profits, Performance Improvement, Budgeting, Market Intelligence, Competitive Intelligence, Cash Flow Forecasting, Business Process, Performance Metrics, Statistical Modeling, Treasury, Insurance, Shared Services, Cash Flow, Financial Planning, Financial Management, Revenue Management, Cash Flow Management, Innovation, Problem Solving, Thought Leadership, Performance Analysis, Profitability..., Shared Services...
Education
The George Washington University - School of Business 1989 — 1991
MBA, Finance
University of Maryland College Park 1984 — 1988
BS, Finance
New Leaf Properties January 2010 - Present
Financial Industry Regulatory Authority February 2005 - January 2010
T. Rowe Price Associates, Inc. September 1998 - January 2005
Education
The Johns Hopkins University - Carey Business School 1991 — 1995
MBA, Finance/International Business
Towson University 1977 — 1981
BS, Mass Communication
Estee Lauder Companies June 2009 - Present
EMMIS COMMUNICATIONS July 2008 - February 2009
GOLDMAN SACHS July 2007 - January 2008
FINANCIAL INDUSTRY REGULATORY AUTHORITY July 2005 - July 2007
Skills
Management, Microsoft Office, Finance, Marketing, Sales, Advertising, Internal Audit, Customer Service, Social Media, Financial Analysis, Analysis, Risk Management
Education
University at Buffalo 2001 — 2005
BS, Finance
Ettain Group 2012 - Present
Financial Industry Regulatory Authority 2012 - Present
Cisco Systems June 2009 - August 2009
University of Arizona August 2007 - May 2008
Skills
C, C++, Java, Teaching, Computer Science, Programming
Education
University of Arizona 2005 — 2009
B.S., B.A., Computer Science, Linguistics
Financial Industry Regulatory Authority April 1994 - Present
Education
University of Arkansas at Fayetteville 1986 — 1990
BSBA, Accounting and Finance
Financial Industry Regulatory Authority August 2013 - Present
Financial Industry Regulatory Authority August 2002 - August 2013
Kelly Services February 2002 - August 2002
Skills
FINRA, Financial Services, Service Coordination, Customer Service, Outlook, Microsoft Excel, Microsoft Word, Microsoft Office 2007, Microsoft Office, Analytical Reasoning, Customer-focused, Securities, Securities Regulation, Project Management, Analysis, Risk Management, Testing, Data Analysis
Education
University of Bridgeport 1984 — 1988
Bachelor of Science (B.S.), Graphic Design
Fidelity Investments November 2010 - Present
Macquarie Capital USA April 2009 - October 2010
Financial Industry Regulatory Authority November 2007 - April 2009
Santander Investment January 1999 - October 2007
Skills
CPA, Series 27, Accounting, Management, Regulatory Reporting, FINRA
Education
SUNY Albany
Master of Science (M.S.), Accounting
SUNY Albany
Bachelor of Science, Business Administration, Management Information Systems
My Own Med, Inc. April 2014 - Present
Financial Industry Regulatory Authority January 2012 - March 2014
TEKsystems September 2006 - January 2012
ACS, a Xerox Company 2003 - 2006
B2eMarkets 2000 - 2003
Keane Federal Systems 1996 - 2000
Skills
User Acceptance Testing, Training, Testing, Test Planning, Test Cases, Test Automation, System Testing, Software Quality..., Software Documentation, SDLC, Requirements Gathering, Regression Testing, Quality Assurance, Manual Testing, Project Management, Data Analysis
Education
Towson University 1990 — 1994
BS, Computer Science
FINRA 2006 - Present
Financial Industry Regulatory Authority July 2011 - Present
FINRA January 2006 - July 2011
Sierra Military Health Services 1997 - 2004
Total Health Care 1994 - 1996
Skills
FINRA, Securities, Series 7, Series 24, AML, Series 63, Financial Services, Mutual Funds, Customer Service, Call Center, Process Improvement, Insurance, Banking, KYC, Data Analysis, Microsoft Excel, Outlook, Risk Management, Uniform Combined State..., Credit, Solution-oriented, Customer Driven
Education
Towson University
Psychology, psychology
Cigital, Inc September 2010 - Present
Financial Industry Regulatory Authority July 2010 - September 2010
Accenture July 2007 - July 2008
Skills
SQL, Java, XML, Software Development, Requirements Analysis, C++, JavaScript, C, Agile Methodologies, HTML, Microsoft SQL Server, Databases, SDLC, Linux, Software Project..., Unix
Education
The George Washington University 2008 — 2010
Master of Science (MS), Computer Science
Visvesvaraya Technological University 2003 — 2007
BS, Computer Science
Financial Industry Regulatory Authority June 2014 - Present
ANZ April 1988 - February 2012
EF Hutton March 1987 - March 1988
Drexel Burnham Lambert August 1981 - March 1987
KPMG (Peat Marwick) August 1977 - August 1981
Skills
Commercial Banking, broker dealer, Auditing, Financial Reporting, Financial Accounting, Series 27, Process Consulting, SOX 404, Corporate Governance, Compliance, regulatory reporting, management reporting, Management, Accounting, Credit Analysis, Risk Management, FINRA, Internal Audit, Sarbanes-Oxley Act, Financial Risk, Business Planning, Cash Management, Finance, Broker-Dealer, Financial Services, Budgets, Financial Analysis, IFRS, Credit Risk, Corporate Finance, Treasury Management, Financial Audits, Loans, Financial Modeling, Due Diligence, Credit, Investment Banking, Derivatives, Financial Institutions, Capital Markets, Portfolio Management, Mergers & Acquisitions, Project Finance, Investments, Enterprise Risk..., Securities, Financial Markets, Fixed Income, Structured Finance, Hedge Funds
Education
State University of New York at Buffalo 1973 — 1977
BS, Business - Accounting, Magna Cum Laude
WealthEngine September 2013 - Present
Financial Industry Regulatory Authority February 2010 - July 2013
Mindbank Consulting Group, LLC February 2010 - September 2010
Skills
Financial Analysis, Financial Reporting, Due Diligence, Finance, Analysis, Financial Services, Analytics, Mergers & Acquisitions, Fundraising, Strategic Planning, Marketing
Education
Towson University 2004 — 2008
Communication Studies
Morgan Stanley October 2014 - Present
C.L. King & Associates May 2012 - September 2014
Financial Industry Regulatory Authority July 2010 - May 2012
CL King & Associates November 2008 - May 2010
UBS Investment Bank June 2009 - July 2009
Education
University at Albany, SUNY 2006 — 2009
Bachelor's, Finance, Information Technology Management, Financial Market Regulation
Neuberger Berman May 2013 - Present
Financial Industry Regulatory Authority July 2010 - March 2012
U.S. Department of Justice February 2010 - July 2010
Butzel Long Tighe Patton, PLLC June 2009 - December 2009
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Berkeley College-New York 2004 — 2006
Bachelor's degree, Economics
New York University - Leonard N. Stern School of Business 2000 — 2004
B.S., Finance
Financial Industry Regulatory Authority July 2007 - Present
NYSE Euronext April 2004 - July 2007
Merrill Lynch December 1997 - April 2004
Skills
FINRA, AML, Securities, Series 7, Series 24, Equities, Options, Financial Markets, Trading, Trading Systems, Equity Trading, Capital Markets, Electronic Trading, Prime Brokerage, Back Office, Securities Regulation, Asset Management, Mutual Funds, SEC, Investment Advisory, Investments, Financial Risk, Private Placements, Financial Services, Broker-Dealer, ETFs, USA PATRIOT Act, Risk Management, Financial Regulation, Broker-Dealer Compliance, Due Diligence, Regulatory Examinations, Fixed Income, Hedge Funds, KYC, Series 63
Education
SUNY at Buffalo 1992 — 1996
B.S.-Business Administration, Significant coursework in Finance, Economics, and Accounting
Gerald P Motl, CFP 2003 - Present
Navy League of the United States December 2013 - Present
Financial Industry Regulatory Authority 2011 - Present
Xavier University 2006 - 2010
SAIC 1994 - 2003
Brown & Root Environmental 1990 - 1994
LN Technologies 1986 - 1990
NUS Process Services Corporation 1982 - 1986
Chem-Nuclear Systems 1979 - 1982
NUS Corporation 1973 - 1979
Skills
Investments, Proposal Writing, Insurance, Strategic Planning, Team Building, Process Improvement, Program Management, Public Speaking, Operations Management, Analysis, Compliance, Budgeting, Problem Solving, Technical Writing, Contract Negotiation, Management Consulting, Customer Relations, Leadership Development, Negotiation, Critical Thinking, Mentoring, Entrepreneurship, Business Strategy, International Business, Portfolio Management, Strategy Development, Valuation, Auditing, Business Planning, Financial Management, Organizational..., Team Leadership, Customer Service, Competitive Analysis, Marketing Strategy, Microsoft Office, Excel, New Business Development, Writing, Mergers, Planning, Coaching, Word, Financial Analysis, Risk Management, Statistics, Strategy, Budgets, Data Analysis, Marketing
Education
University of Pennsylvania - The Wharton School 1993 — 1993
AMP, Business
University of Maryland College Park 1976 — 1978
MBA, Finance/Marketing
United States Naval Academy 1964 — 1968
BS, Engineering/Mathematics, 3.67
Financial Industry Regulatory Authority September 2013 - Present
Spectrum Plastics Corporation March 2010 - Present
Joseph D. Carney & Associates, LLC March 2011 - September 2013
Khursheed Khan and Associates November 2009 - February 2010
Rowchester Chambers June 2008 - July 2008
Carrick Read Solicitors LLP March 2008 - April 2008
Rizvi, Isa, Afridi and Angell June 2007 - July 2007
Skills
Foreign Languages, Travel, Law, Legal Research, Legal Writing, Securities, Finance, Intellectual Property, Small Business..., Urdu, Hindi, Arabic, Business, Estate Law, Elder Law, Jurisprudence, Corporate Law, International..., Arbitration, Patents, Commercial Litigation, Securities Regulation, Copyright Law, Legal Issues, Due Diligence, Mediation, Legal Documents
Education
The University of Hull 2006 — 2009
LLB Honors, Law
L'ecole School for Advanced Studies 2004 — 2006
A Levels
British Council 2003 — 2006
O Levels
Financial Industry Regulatory Authority 2014 - Present
Financial Industry Regulatory Authority (FINRA) 2011 - 2014
DC Superior Court 2007 - 2009
Skills
Policy Analysis
Education
The Catholic University of America, Columbus School of Law 2010 — 2011
LLM, Securities Law
The George Washington University Law School 2004 — 2007
JD
University of Notre Dame 2000 — 2004
BA, Political Science
Bulletin Intelligence October 2014 - Present
Bulletin Intelligence August 2013 - October 2014
Bulletin Intelligence September 2012 - August 2013
Council of the District of Columbia, Office of the General Counsel August 2012 - September 2012
Law Offices of Gary M. Gilbert & Associates, P.C. January 2012 - April 2012
Financial Industry Regulatory Authority August 2011 - December 2011
US Small Business Administration June 2011 - August 2011
The Advisory Board Company August 2010 - June 2011
Ashcraft & Gerel LLP May 2010 - August 2010
Perkins Coie LLP July 2007 - February 2009
Skills
Legal Research, Legal Writing, Legal Compliance, Civil Litigation, Compliance, Government Contracts, Securities, Enforcement, Litigation, Employment Law, Editing, Editorial, Writing, Analysis, Corporate Governance, Intellectual Property, Policy
Education
The George Washington University Law School 2010 — 2012
Juris Doctor
The University of Chicago 2002 — 2006
Bachelor of Arts
Dodge City High School 1998 — 2002
Honors Diploma
Financial Industry Regulatory Authority May 2014 - August 2014
Skills
C++, Python, C, Java, HTML, SQL, CSS, JavaScript, Linux, Distributed Systems, NoSQL, Front-end Development, Back-end Development
Education
The Johns Hopkins University 2013 — 2015
Master of Science (MS), Security Informatics, Major GPA: 3.85/4.00
University of Science and Technology of China 2009 — 2013
Bachelor, Computer Science
Financial Industry Regulatory Authority 2008 - Present
Skills
AML, Capital Markets, Corporate Finance, Equities, FINRA, Fixed Income, Mutual Funds, Securities, Securities Regulation, Options, Series 24, Series 63, Series 7, Alternative Investments, Equity Trading, SEC, Trading, Anti Money Laundering
Education
University at Albany, SUNY
B.S., Accounting
Debevoise & Plimpton May 2013 - Present
Financial Industry Regulatory Authority October 2011 - May 2013
US Securities and Exchange Commission January 2011 - April 2011
Public Broadcasting Service July 2010 - August 2010
Husch Blackwell June 2010 - July 2010
Office of U.S. Senator Evan Bayh June 2007 - June 2008
Education
Washington University in St. Louis School of Law 2008 — 2011
Juris Doctor
The University of Kansas 2003 — 2007
B.A., Political Science
Kahn, Swick, & Foti, LLC August 2015 - Present
Willeford & Toledano September 2011 - Present
Financial Industry Regulatory Authority May 2010 - August 2010
Orleans Parish District Attorney's Office May 2009 - August 2009
New Orleans College Prep November 2007 - August 2008
Okiki Kindergarten August 2006 - September 2007
BSK English Academy August 2005 - August 2006
Skills
Legal Writing, Legal Research, Litigation, Westlaw, Civil Litigation, Commercial Litigation, Research, Editing, Public Speaking, Teaching
Education
University of Colorado at Boulder 2000 — 2004
B.A., English
Tulane University Law School
J.D.
Barclays January 2014 - Present
Nomura June 2010 - December 2013
Barclays Capital 2005 - 2010
Financial Industry Regulatory Authority 2002 - 2005
Education
The College of New Jersey 1993 — 1997
Funding Circle USA January 2014 - Present
Financial Industry Regulatory Authority October 2013 - January 2014
Endurance Lending Network January 2013 - May 2013
US Securities and Exchange Commission August 2012 - December 2012
Roetzel & Andress May 2012 - August 2012
Energy & Environment Foundation August 2011 - May 2012
U.S. District Court for the Southern District of New York May 2011 - August 2011
Skills
Legal Research, Legal Writing, Commercial Litigation, Corporate Law, Securities Regulation, Westlaw, Lexis, International Law, Research
Education
University of California, Berkeley - School of Law 2010 — 2013
The University of Georgia 2006 — 2010
Economics, History
Financial Industry Regulatory Authority November 2012 - Present
IBM June 2010 - November 2012
Lincoln Financial Advisors June 2009 - August 2009
Eagle Nationwide Mortgage Company June 2009 - August 2009
Education
State University of New York at Albany 2006 — 2010
Bachelor of Science, Business Administration - Financial Analysis
State University of New York at Albany 2006 — 2010
Bachelor of Science in Business Administration, Financial Analysis
Financial Industry Regulatory Authority May 2006 - Present
Financial Industry Regulatory Authority November 1999 - May 2006
Norwest Financial, Inc December 1998 - November 1999
Skills
AML, USA PATRIOT Act, FINRA, Securities Regulation, Securities, Broker-Dealer, Financial Services, Financial Regulation
Education
Tulane University 1994 — 1998
Bachelor of Arts, Art History, Business
Santander Investment Securities Inc November 2014 - Present
Fordham Law School January 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
CPI Group May 2010 - November 2011
Fargepallet Law Firm October 2007 - April 2010
Skills
Securities Regulation, Legal Research, Corporate Law
Education
Paris Bar School 2006 — 2007
Lawyer License, Law
Université Paris Sud (Paris XI) / University Paris XI 2003 — 2004
Postgraduate Degree, European Business Law
Universite Paris X (Nanterre) 2000 — 2001
Master's degree, Business Law
Universite Paris X (Nanterre) 2000 — 2001
Master's degree, International and European Law
Financial Industry Regulatory Authority
Education
The George Washington University Law School
Master of Laws (LL.M.)
University of Virginia School of Law 1985 — 1988
Juris Doctor (J.D.)
University of Notre Dame 1981 — 1985
B.A.
Financial Industry Regulatory Authority December 2013 - Present
1st Global June 2013 - December 2013
Apex Clearing July 2012 - June 2013
Penson Financial Services March 2000 - July 2012
Skills
Securities, Series 7, Series 63, Trading, Options, Back Office, Equities, Series 24, Relationship Management, Mutual Funds, Financial Services, Fixed Income, Series 66, Electronic Trading, Equity Trading, FINRA, Investments, Risk Management, Trading Systems, Uniform Combined State...
Education
The University of Texas at Arlington 2000 — 2003
Master of Business Administration (MBA), General
The University of Texas at Austin 1995 — 1999
Bachelor of Arts (B.A.), Econ
Financial Industry Regulatory Authority September 2013 - Present
Ernst & Young September 2011 - September 2013
Skills
Financial Accounting, Accounting
Education
University at Albany 2007 — 2011
Bachelor's degree, Accounting
Financial Industry Regulatory Authority September 2010 - Present
State Street 2008 - 2010
Skills
Securities Regulation, Compliance
Education
Truman State University 2005 — 2008
Bachelor of Arts (B.A.), Business Administration
Group One Trading, LP May 2013 - Present
Group One Trading, LP November 2011 - May 2013
Group One Trading, LP February 2010 - November 2011
Financial Industry Regulatory Authority June 2009 - January 2010
Skills
Equities, Series 7, Securities, FINRA
Education
The John Marshall Law School 2008 — 2011
The Ohio State University 2003 — 2007