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
VaST Consulting, LLC May 2013 - Present
Fusion PPT September 2011 - March 2013
Financial Industry Regulatory Authority October 2010 - September 2011
Ambient IT Services July 2009 - September 2011
Windward IT Solutions October 2008 - April 2010
SAIC June 2002 - October 2008
United States Air Force March 1989 - June 2002
Skills
Integration, Unix, Network Security, Linux, Solaris, Network Administration, Networking, Security, Systems Engineering, Enterprise Architecture, Cloud Computing, VMware, Windows, Network Management..., Troubleshooting, Oracle, Government, Storage Area Networks, System Administration, Testing, ITIL, Virtualization, Scripting, Enterprise Network..., Security Incident &..., Open Source, Linux System..., Network Traffic Analysis, Engineering..., Root Cause Analysis, Cisco Technologies, SysML, Puppet, Configuration Management, Red Hat Linux, Shell Scripting, Python, Linux Firewalls, VMware vSphere, VMware ESX, VMware Workstation, SAN, NetApp, Build Automation, Kickstart, Data Center
Education
City Colleges of Chicago
St. Philips College
University of Maryland Baltimore
Biletsky Rosenberger 2015 - Present
Romero Law, A Professional Corporation 2014 - 2015
ABOTA Fellowship 2014 - 2014
Law Offices of Marc I. Zussman 2013 - 2014
Harris & Ruble 2013 - 2013
Financial Industry Regulatory Authority 2013 - 2013
Los Angeles City Attorney's Office 2012 - 2013
Wells Fargo 2005 - 2010
Skills
Westlaw, Lexis, Legal Research, Statutory Interpretation, Legal Writing, Finance, Employment Law, Litigation, Securities Regulation, Arbitration, Criminal Law, Civil Litigation, Hearings, Licensing, LexisNexis
Education
University of California, Los Angeles - School of Law
Juris Doctor (J.D.)
University of Nevada-Las Vegas
Bachelor's Degree, Political Science
ZipRecruiter April 2015 - August 2015
Microsoft April 2013 - February 2015
Booz Allen Hamilton October 2012 - March 2013
Financial Industry Regulatory Authority January 2012 - May 2012
NIST May 2010 - December 2011
University of Maryland June 2008 - May 2010
Skills
Matlab, Python, Data Mining, Handsomeness, SQL, JavaScript, Machine Learning, R, Data Analysis, Statistics, Amazon Web Services..., Apache Spark, NLP, Hadoop, Cloud Computing, Text Analytics, Data Visualization, C, Quantitative Analytics, Statistical Programming, Databases, VBA, Business Intelligence, Mathematical Modeling, Applied Mathematics, PowerPivot, d3.js, Big Data, Java, Big Data Analytics, Pattern Recognition
Education
University of Maryland College Park 2007 — 2012
Bachelors, Mathematics
University of Maryland College Park 2007 — 2012
Bachelors, Neurobiology and Physiology
Quince Orchard 2003 — 2007
High School Diploma
Navigant June 2014 - Present
Financial Industry Regulatory Authority April 2013 - April 2014
Toone & Associates November 2012 - April 2014
Knox Video Technologies January 2011 - September 2011
Skills
Product Marketing, Microsoft Excel, Electronics, Troubleshooting, Team Building, Management, Account Management, New Business Development, Requirements Analysis, Process Improvement, Integration, Video Conferencing, Visio, Sales Management, Strategic Planning, Consumer Electronics, Product Management, Automation, Systems Engineering, Customer Service, Strategy, Leadership, Strategic Partnerships, CRM, Business Development, Sales, Sales Operations, Project Management, Financial Analysis, Consulting, Change Management
Education
Investment Banking Institute 2013 — 2013
American Project Management-Georgetown University 2014 — 2014
Project Management Master's Certification
University of Maryland University College
Master's Degree
University of Maryland University College 2010 — 2012
Master of Business Administration (MBA)
University of Maryland University College 2004 — 2007
Bachelor of Science (B.S.)
MUFG Union Bank July 2015 - Present
EY July 2014 - July 2015
EY April 2013 - June 2014
Financial Industry Regulatory Authority October 2011 - April 2013
FINRA July 2008 - October 2011
FINRA October 2007 - June 2008
Skills
FINRA, Securities, Securities Regulation, AML, Due Diligence, Equities, SEC, Trading, Underwriting, Capital Markets, USA PATRIOT Act, Financial Regulation, Variable Annuities, Private Placements, Munis
Education
University of Maryland 2008 — 2010
MBA
University of Maryland - Robert H. Smith School of Business 2003 — 2007
BS, International Business
Our Lady of Good Counsel High School 1999 — 2003
FINRA's Examiner University 2011 — 2012
Financial Industry Regulatory Authority November 2007 - Present
Eastern Savings Bank March 2006 - November 2007
GARTENHAUS FINANCIAL CORP. September 2005 - March 2006
Fidelity &Trust Mortgage September 2000 - January 2004
Skills
Project Management, Managerial, Team Building, Team Leadership, Financial Analysis, Call Centers, People Development, Program Management, Team Management, Financial Reporting, Budgets, Budget Setting, Recruitment Training, Recruitments, Employee Training, Technical Training
Education
Webster Graduate School - London, UK 2009 — 2010
Master of Business Administration (MBA), Cum Laude
University of Maryland Baltimore County 2001 — 2005
Bachelor of Arts (B.A.), Industrial and Organizational Psychology, Cum Laude
Financial Industry Regulatory Authority December 2013 - Present
CBOE June 2011 - December 2013
Cygnus Atratus, LLC September 2010 - June 2011
Green Coat Capital LLC May 2009 - September 2010
Green Coat Capital LLC August 2005 - May 2009
Skills
Options Strategies, Options, Securities Regulation, Securities Exchange Act..., Municipal Bonds, US Equities, NMS, AML, Market Access, Finance, Electronic Trading, Financial Risk, Trading Strategies
Education
University of Iowa 2001 — 2005
Bachelor of Arts (B.A.), Economics
Neosho Capital LLC July 2013 - Present
Brandes Investment Partners October 1994 - June 2013
Bank of America March 1991 - October 1994
Financial Industry Regulatory Authority June 1985 - September 1988
Skills
Finance, Investment Management, Investment Strategies, Asset Management, Equities, Asset Allocation, Investments, Bloomberg, Alternative Investments, Mutual Funds, Investment Advisory, Fixed Income, Securities, Equity Research, Portfolio Management
Education
University of California, Los Angeles 1980 — 1984
Bachelor of Arts (BA), Economics
University of California, Irvine 1988 — 1990
Master of Business Administration (MBA), Finance
SunGard June 2007 - Present
Financial Industry Regulatory Authority July 2003 - May 2007
ProTrader Securities LP July 2000 - March 2003
Skills
Due Diligence, FINRA, Securities Regulation, AML, FSA, Electronic Trading, Institutional Investors, International Expansion, ASIC, SEC, Investment Company Act, Securities, Institutional..., Financial Regulation, Financial Services, Trading Systems, Series 24, Risk Management, Series 7, Fixed Income, Capital Markets, Mutual Funds, Equities, Derivatives, Financial Markets, Trading, Equity Trading, Series 63, Market Data, Prime Brokerage, Alternative Investments, FX Options, Back Office, Financial Risk, Anti Money Laundering
Education
University of Illinois at Chicago
Bachelor of Science (BS), Finance
Zeiders Enterprises, Inc. November 2012 - Present
AFCPE® (Association for Financial Counseling and Planning Education®) July 2010 - Present
Joint Family Support Assistance Program November 2012 - August 2014
Association of the United States Army April 2012 - August 2014
USAG Livorno Army Community Service July 2010 - July 2011
USAG Livorno Army Community Service January 2010 - July 2010
Financial Industry Regulatory Authority June 2009 - July 2010
Volunteer Income Tax Assistance January 2004 - January 2007
Skills
Personal Finance, Personal Budgeting, Financial Education, Instructor-led Training, Briefing, Workshop Facilitation, Training Facilitation, Training, Team Building, Volunteering, Volunteer Management, Facilitators, Readiness, Retirement Planning, Coaching, Event Management, Staff Development, Nonprofits, Leadership Development, Employee Training, Army, Security Clearance, Military Experience, Command, Facilitation, Finance, Military Operations, Financial Planning, DoD, Tactics, Program Management
Education
University of Maryland University College
Bachelor of Arts (B.A.), Business Administration and Management, General
Financial Industry Regulatory Authority April 2006 - Present
Self employed January 2003 - February 2007
Merrill Lynch September 1970 - November 2002
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, English, Windows, Research, Budgets, Access, Editing, Leadership, Teamwork, Marketing, Community Outreach
Education
The University of Connecticut
Bachelor's degree, Liberal Arts and Sciences, General Studies and Humanities
Financial Industry Regulatory Authority August 2010 - Present
Northwestern Mutual Financial Network May 2009 - July 2009
Skills
Securities, Risk Management, FINRA, Due Diligence, Auditing, AML, Finance, Analysis, Securities Regulation, Financial Regulation, Equities, Financial Risk, Mutual Funds, Bloomberg, Investments, Capital Markets
Education
University of Maryland College Park 2006 — 2010
B.S., Finance
Financial Industry Regulatory Authority August 2011 - Present
FINRA November 2010 - August 2011
Financial Industry Regulatory Authority February 2010 - November 2010
DBC PR+New Media June 2008 - August 2008
Skills
Financial Regulation, Securities, Due Diligence, Equities, Microsoft Excel, Securities Regulation, Financial Analysis
Education
University of Maryland College Park 2005 — 2009
Bachelor of Arts (B.A.), Mass Communication/Media Studies
Achievement First August 2014 - Present
World Jewish Congress February 2014 - July 2014
The Parenteral Drug Association (PDA) October 2012 - February 2014
The Parenteral Drug Association (PDA) June 2012 - August 2012
Parenteral Drug Association January 2012 - June 2012
Financial Industry Regulatory Authority October 2011 - January 2012
Skills
Aptify, Microsoft Office, PowerPoint, Microsoft Word, Microsoft Excel, Dreamweaver, Gm5, Customer Service
Education
University of Delaware 2007 — 2011
Bachelor of Science, Human Development, Family Studies, and Related Services
University of Pretoria/Universiteit van Pretoria 2010 — 2010
Human Development, Family Studies, and Related Services
3DAdvisors, LLC February 2014 - Present
Financial Industry Regulatory Authority August 2013 - Present
Merrill Lynch Wealth Management, Global Investment Solutions May 2006 - March 2012
Banc of America Securities March 2004 - May 2006
Banc of America Securities/Banc of America Investment Services, Inc. January 2002 - March 2004
Montgomery Securities/NationsBanc Montgomery Securities April 1998 - January 2004
Montgomery Securities July 1993 - April 1998
Skills
Series 7, Series 63, Wealth Management, Equities, Securities, Series 8, Rule 144, SEC filings, Section 16, 10b5-1 Plans, Capital Markets, IPO, Insider Trading, Project Management, Stock Compensation
Education
University of California, Berkeley
Bachelor of Arts, Political Science/Religious Studies
U.S. Securities and Exchange Commission July 2014 - Present
Financial Industry Regulatory Authority February 2012 - July 2014
National Consumer Law Center December 2011 - February 2012
US Securities and Exchange Commission January 2011 - April 2011
Iowa Attorney General's Office, Department of Revenue May 2010 - July 2010
Washington University School of Law May 2009 - May 2010
Tribal Judge for Winnebago Tribe, Nebraska May 2009 - July 2009
Skills
Legal Research, Legal Writing, Westlaw, Litigation, Civil Litigation, Intellectual Property, Mediation, Family Law, Criminal Law, Legal Assistance, Commercial Litigation
Education
Washington University in St. Louis School of Law 2008 — 2011
Juris Doctor (J.D.), Cum Laude
University of Iowa 2003 — 2008
B.A., Journalism, Political Science
EY February 2014 - Present
Federal Deposit Insurance Corporation June 2011 - February 2014
Financial Industry Regulatory Authority April 2007 - May 2011
Ameriprise Financial Services, Inc. October 2005 - November 2006
PNC August 2004 - October 2005
Skills
Financial Risk..., Regulatory Compliance, AML, KYC, Bank Secrecy Act, Suspicious Activity..., USA PATRIOT Act, Certified Fraud Examiner, CAMS, Dodd-Frank, Volcker, Securities Regulation, Series 7, Market Regulation, Best Execution, SEC regulations, Secondary Offerings
Education
University of Maryland College Park 2001 — 2005
Bachelor of Arts (B.A.), Economics
Deltek April 2014 - Present
Vocus March 2012 - March 2014
Financial Industry Regulatory Authority 2010 - 2011
Skills
Sales, Customer Service, Social Media, New Business Development, Cold Calling, Business Strategy, Team Building, Strategic Planning, PowerPoint, Sales Management, Public Speaking, Relationship Management, Building Relationships
Education
University of Maryland College Park 2003 — 2007
Bachelor of Arts (B.A.), Criminal Justice
Georgetown Preparatory School 1999 — 2003
FOCALCXM March 2013 - Present
Technogen, Inc (formerly Syscom Technologies, Inc.) April 2013 - Present
Aroma Hotels October 2008 - Present
edCirrus Inc. August 2013 - Present
Financial Industry Regulatory Authority July 2000 - October 2008
Skills
Computer Application, Entrepreneurship, Investments, Risk Management, Strategic Planning, CRM, Program Management, Business Development, Asset Management, Public Relations, Executive Management, Negotiation, Management, Leadership
Education
University of Maryland - Robert H. Smith School of Business 1997 — 1999
Master of Business Administration (MBA), Finance, General
DDIT, Nadiad, India 1988 — 1991
Sidley Austin LLP September 2012 - Present
Sidley Austin May 2011 - August 2011
Financial Industry Regulatory Authority June 2010 - September 2010
US Securities and Exchange Commission June 2009 - August 2009
Skills
Legal Research, Research, Securities, Analysis, Legal Writing
Education
University of Chicago Law School 2009 — 2012
JD
University of Maryland College Park 2005 — 2009
BA, History; Government & Politics
Quarles & Brady LLP September 2015 - Present
U.S. Venture, Inc. May 2014 - August 2014
Cummins & Brown LLC August 2013 - May 2014
Financial Industry Regulatory Authority April 2013 - August 2013
SII Investments January 2008 - August 2012
SII Investments November 2005 - December 2007
Skills
Research, Compliance, Series 7, Securities, Investment Advisory, Investments, Mutual Funds, Series 24, Financial Advisory, FINRA, Uniform Combined State..., Insurance, Broker-Dealer, SEC, Finance, Series 63, Trading
Education
University of Cincinnati College of Law 2012 — 2015
Juris Doctor (J.D.), Corporate, Tax, Finance, Securities Law
University of Wisconsin-Oshkosh 2006 — 2008
Master of Business Administration (M.B.A.)
University of Wisconsin-Oshkosh 2002 — 2006
Bachelor's Degree, Business Administration; Finance; Legal Studies
Financial Industry Regulatory Authority January 2009 - Present
Association of Physicians of Pakistani-Descent of North America January 2010 - January 2011
Financial Industry Regulatory Authority February 2005 - January 2009
Financial Industry Regulatory Authority March 2004 - February 2005
Financial Industry Regulatory Authority August 2003 - November 2003
The Feldman Group, Inc February 2002 - July 2003
Democratic Senatorial Campaign Committee August 2000 - November 2000
U.S. Senate Democratic Policy Committee April 2000 - June 2000
U.S. Senate Majority Leader Harry Reid June 1996 - August 1996
U.S. Senate Majority Leader Harry Reid June 1995 - July 1995
Skills
Securities, Financial Markets, Financial Regulation, FINRA, Financial Services, Quality Assurance, Leadership, Corporate Finance, Interviews, Financial Advisory, Testing, Management, Time Management, Strategy, Risk Management, Team Building, Microsoft Office, Strategic Planning, Customer Service, Policy, Finance, Marketing
Education
University of Maryland College Park 1998 — 1999
BA, Government and Politics
Financial Industry Regulatory Authority October 2013 - Present
Hamilton County, Ohio January 2013 - Present
Burg Simpson Eldredge Hersh & Jardine, P.C. May 2012 - November 2012
Scripps Networks Interactive Inc. March 2011 - March 2012
Scripps Networks March 2011 - January 2012
JPMorgan Chase February 2008 - July 2010
Ameriprise Financial Services, Inc. November 2005 - February 2008
Skills
Legal Writing, Legal Research, Financial Structuring, Financial Regulation, Financials, Corporations, Linguistics, Language Learning, Tax-planning, Team-oriented, Sports, Financial Transactions, Legal Documents, Health Systems, Health Insurance, Bank Accounting, Bank Statements, Securities License, Securities Market, Securities Offerings, Client Representation, Client Relations Skills, Manage Client..., New Client Acquisitions, Document Drafting, Investment Banking, Financial Analysis, Strategic Financial..., Asset Management, Risk Assessment, Retirement Planning, Asset Allocation, Mergers & Acquisitions, Transactional Law, Negotiation, Contract Negotiation, Westlaw
Education
University of Cincinnati College of Law 2010 — 2013
JD, Law
Morgan Stanley April 2014 - Present
Financial Industry Regulatory Authority November 2011 - April 2014
KPMG October 2009 - November 2011
Skills
Bloomberg, Microsoft Excel, Microsoft Office, PowerPoint, Data Analysis, Microsoft Word, Access, Analysis, Business Analysis, Securities, Outlook, Bloomberg Terminal, Consulting, Project Management, Business Intelligence, Customer Service, Risk Management, Financial Risk, Information Technology, Research, Finance
Education
City University of New York-Baruch College 2013 — 2015
Master of Business Administration (MBA), Finance and Economics
University of Delaware 2005 — 2009
Honors B.S., Finance, Management Information Systems
Financial Industry Regulatory Authority April 2014 - Present
Financial Industry Regulatory Authority October 2012 - March 2014
Goldman Sachs February 2011 - March 2012
FDIC September 2010 - February 2011
Goldman Sachs June 2010 - August 2010
FDIC May 2009 - May 2010
FDIC September 2008 - May 2009
Bowerman Insurance and Financial, LLC November 2006 - August 2008
Skills
Securities, Equities, Financial Risk, Fixed Income, Asset Managment, AML, Hedge Funds, Portfolio Management, Financial Analysis, Capital Markets, Investments, Policy Analysis, Risk Management, Market Risk, Microsoft Office, Corporate Governance, Bloomberg, Financial Modeling, PowerPoint, Microsoft Excel, Due Diligence, Derivatives, Investment Banking, Economics, Data Analysis, Series 7, Banking, Analysis, Valuation, Bloomberg Terminal
Education
University of Maryland College Park 2008 — 2010
B.A., Economics
Financial Industry Regulatory Authority November 2012 - Present
US Securities and Exchange Commission January 2012 - May 2012
Skills
Legal Research, Legal Writing, Civil Litigation, Westlaw, Commercial Litigation, Public Speaking, Microsoft Office
Education
Vanderbilt University Law School 2009 — 2012
JD
University of Georgia - Terry College of Business 2005 — 2009
Bachelor of Business Administration
Lakes Community Credit Union September 2011 - Present
Financial Industry Regulatory Authority January 2010 - Present
Ocean Group, LLC 2007 - 2009
Skills
FINRA, SEC, Corporate Finance, Financial Analysis, Finance, Internal Controls, Strategic Financial..., Financial Reporting, Restructuring
Education
University of Detroit Mercy 1971 — 1973
Master of Business Administration (M.B.A.), Organizational Behavior Studies
University of Michigan Business School 1965 — 1969
Bachelor of Business Administration (B.B.A.), Accounting and Finance
Walsh College of Accountancy and Business Administration
Master's degree in Taxation, Taxation
Plus One Health Management Inc January 2015 - Present
HSBC Securities September 2013 - Present
NYKAYAK May 2013 - Present
One Life Fitness October 2011 - Present
Sun Cycle Studios October 2013 - April 2014
Financial Industry Regulatory Authority December 2012 - September 2013
J.P. Morgan Securities, LLC April 2007 - April 2012
H&R Block Financial Advisors November 2005 - April 2007
Ameriprise Financial May 1999 - November 2005
Skills
Equity Derivatives, Alternative Dispute..., Legal Writing, Derivatives, Securities, FINRA, Due Diligence, Financial Services, Trading, Fixed Income, Hedge Funds, Equities, AML, Series 7, Options, Securities Regulation, Risk Management, Series 63, Capital Markets, Legal Compliance, Relationship Management, Mediation, Finance, Mutual Funds, Financial Markets, Asset Management, Asset Allocation, Alternative Investments, Investment Management, Wealth Management, Bloomberg, Financial Risk, Investment Advisory, Investments, Portfolio Management, Investment Banking
Education
Series 4,7,9,10,24,63 and 65
University of Detroit Mercy School of Law
Juris Doctorate, Law
Western Michigan University
BBA, Finance
Ebix March 2012 - Present
Financial Industry Regulatory Authority July 2006 - April 2011
Shugoll Research February 2006 - July 2006
SAIC June 2004 - September 2004
National Institute of Standards and Technology June 2000 - September 2000
Skills
Microsoft Word, Strategy, Microsoft Office, Social Media, Training, Requirements Analysis, Customer Service, Public Speaking, SQL, Research, Microsoft Excel, Visio, Analysis, Economics, Social Media Marketing, Data Analysis, Project Management, XHTML, Management, Market Research, Strategic Planning, Team Leadership, Budgets, Testing, Software Development, Business Analysis, Recruiting, Software Documentation, Delivery Of Projects, Customer Satisfaction, Customer Advocacy, Help Desk Support, Account Administration, Cross-functional Team..., Requirements Gathering, CRM, Software Project..., Process Improvement, MS Project, Agile Project Management, Vendor Management, PMP, Business Intelligence, Program Management, Project Planning
Education
University of Maryland College Park 2003 — 2006
Bachelors, Economics
University of Tampa 2001 — 2003
Marketing and Advertising
Watkins Mill 1997 — 2001
Investment Adviser Association April 2015 - Present
National Press Club January 2013 - Present
CommCore Consulting Group 2011 - April 2015
Perone Communications & Consulting August 2010 - April 2015
Financial Industry Regulatory Authority March 2004 - August 2010
US Securities and Exchange Commission November 2002 - March 2004
American Council of Life Insurers February 1998 - November 2002
CNN January 1996 - February 1998
Freelance June 1981 - June 1997
ABC News June 1981 - January 1996
Skills
Crisis Communications, Media Relations, Corporate Communications, Public Relations, Video Production, Marketing Communications, Internal Communications, External Relations, Speech Writing, Public Affairs, Media Studies, International Relations, Broadcast, Strategic Communications, Spokesperson, Press Releases, Editing, Newsletters, Strategic Planning, Video, Publicity, Television, Marketing, Crisis Management, Storytelling, Social Media, Radio, Politics, Newspapers, New Media, Strategy, Editorial, Broadcast Journalism, Reputation Management, Magazines, Content Development, Message Development, Public Policy, Journalism, Copywriting, Interviews, Copy Editing, Blogging, Web Content, Digital Media, Leadership, Creative Direction
Education
University of Maryland College Park 1969 — 1973
B.A., Political Science
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates September 2015 - Present
University of Maryland School of Law July 2013 - May 2015
Financial Industry Regulatory Authority June 2010 - August 2011
Cheatham Tax Service January 2007 - March 2011
Human Genome Sciences June 2007 - March 2009
Skills
Income Tax, Legal Research, Legal Writing, Corporate Tax, IP Tax, Analysis, Statistics, Due Diligence, Project Management, Process Improvement, Financial Analysis, Data Analysis, Microsoft Excel
Education
University of Maryland School of Law 2011 — 2015
Juris Doctor
University of California, San Diego 2002 — 2006
Bachelor of Arts, Political Science
Bank of America April 2015 - Present
TIAA-CREF October 2014 - April 2015
Bank of America May 2010 - October 2014
Financial Industry Regulatory Authority October 2001 - May 2010
Skills
Greenbelt Certified
Education
University of Maryland College Park
Bachelor's degree, Business Administration and Management, General
EY May 2015 - Present
Financial Industry Regulatory Authority June 2010 - April 2015
University Directories 2009 - 2009
Skills
Securities Regulation, NBBO Manipulation, Pattern Recognition, Data Analysis, HFT Manipulation Schemes, Problem Solving, Arbitrage, Equities, ETFs, HFT Gaming Strategies, Liquidation, Investigation, Financial Analysis, Financial Regulation, Regulatory Analysis, Technical Writing, Business Analysis, Speech Writing, Microsoft Excel, Risk Management, Social Media, PowerPoint, Public Speaking
Education
University of Maryland College Park 2007 — 2010
Bachelor's degree, Accounting
Charles River Associates February 2011 - Present
University of Texas at Arlington August 2012 - Present
Financial Industry Regulatory Authority August 2011 - Present
Association of Certified Fraud Examiners - Dallas Chapter August 2008 - April 2014
LECG July 2009 - March 2011
Grant Thornton 2004 - 2009
Skills
Forensic Accounting, Fraud, Certified Fraud Examiner, Expert Witness, Standards Compliance, Internal Audit, Internal Controls, Internal Investigations, Business Valuation, US GAAP, Higher Education, Litigation, Accounting, Due Diligence, Mergers & Acquisitions, Analysis, Finance, Leadership, Litigation Support, Corporate Governance, SEC filings, Enterprise Risk..., Auditing, Investigation, Sarbanes-Oxley Act, CPA, Private Investigations, Risk Management, GAAP, Risk Assessment, Financial Services, Financial Analysis
Education
University of Louisiana at Monroe 1991 — 1995
Bachelor of Business Administration (BBA), Accounting and Related Services
Kingdom Gourmet LLC April 2014 - Present
alliantgroup February 2013 - January 2014
P International G April 2010 - September 2013
GH Urban Farms March 2011 - August 2013
alliantgroup May 2013 - May 2013
Dessert Delights January 2010 - January 2012
Suzie's Grill June 2007 - October 2011
JPMorgan Chase March 2010 - July 2011
Financial Industry Regulatory Authority March 2008 - July 2011
Princeton Financial Services September 2007 - March 2010
Skills
Business Strategy, Business Planning, New Business Development, Operations Management, Customer Relations, Strategic Planning, Start-ups, Strategy Development, Marketing Strategy, Customer Service, Strategy, Cross-functional Team..., Budgets, Public Relations, Public Speaking, Microsoft Excel, Forecasting, Leadership, Management, Finance, Accounting, Sales, Portfolio Management, Access
Education
University of Houston 2010 — 2013
Master, Business Administration
Yeshiva University 2004 — 2007
Bachelor of Arts; Bachelor of Arts, Economics; Business Management and Pre Med
AXA Rosenberg April 2012 - Present
McMorgan & Company LLC July 2010 - March 2012
CJS Consulting May 2009 - July 2010
Charles Schwab July 2000 - February 2009
Bear Stearns July 1999 - July 2000
US Securities and Exchange Commission July 1991 - June 1999
Financial Industry Regulatory Authority October 1986 - June 1991
Skills
Mutual Funds
Education
University of Georgia - Terry College of Business 1982 — 1986
UnitedHealth Group 2012 - Present
Ad-Astra Interpreting Service 2013 - January 2014
Aristotle 2010 - 2012
comScore, Inc. August 2008 - April 2009
KPMG Advisory May 2007 - April 2008
Bureau of Labor Statistics February 2007 - May 2007
Financial Industry Regulatory Authority June 2006 - August 2006
University of Delaware 2004 - 2006
Skills
Data Analysis, Data Warehousing, Database Design, Microsoft SQL Server, Quality Assurance, Call Center Operation..., Medicare Advantage Risk..., Provider Fraud Detection, SAS Certified Base..., Forensic Accounting, SSIS, Decision Support..., Project Management
Education
Shanghai University
Bachelor of Arts (B.A.)
Shibei Middle School
University of Delaware
M.S
Harrison Institute of Housing and Community Development August 2014 - May 2015
Financial Industry Regulatory Authority May 2014 - August 2014
US Securities and Exchange Commission January 2014 - April 2014
Paramount Pictures June 2013 - August 2013
Voltage Pictures June 2010 - June 2012
Voltage Pictures August 2009 - June 2010
Voltage Pictures June 2008 - June 2009
Skills
Korean, International Relations, Licensing, English, Business Affairs, Translation, New Media, International Business, Finance, Legal Writing, Economics, Contract Negotiation, Entrepreneurship, Legal Research, Litigation, Westlaw
Education
Georgetown University Law Center 2012 — 2015
Juris Doctor, Law
UCLA 2006 — 2009
B.A., History, Film minor
Financial Industry Regulatory Authority January 2006 - Present
Education
UC Riverside 2003 — 2005
Bachelor of Arts, Business/Managerial Economics
Financial Industry Regulatory Authority April 2013 - Present
Financial Industry Regulatory Authority August 2010 - March 2013
Snyder Kearney LLC July 2009 - July 2010
Skills
Corporate Finance, Equities, Finance, Due Diligence, Financial Analysis, Data Analysis, Analysis, Microsoft Office, Financial Modeling, Securities Regulation, Securities, Capital Markets, Valuation, Investments, Bloomberg, Microsoft Excel, Portfolio Management, Fixed Income, Financial Services, Hedge Funds, Derivatives, Risk Management
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2009
Bachelor's degree, Finance, General
JPMorgan Chase October 2014 - Present
BNP Paribas March 2014 - September 2014
Financial Industry Regulatory Authority October 2012 - February 2014
FINRA January 2011 - October 2012
FINRA October 2010 - February 2011
NYSE Euronext 2001 - September 2010
Wipro Technologies May 2000 - September 2010
HCL Perot Systems June 1999 - May 2000
Interactive Technologies 1997 - 1999
Skills
Sybase, Hibernate, XML, Java, PL/SQL, EJB, SQL, Ant, Databases, Netezza, JavaScript, Microsoft SQL Server, Application Servers, Swing, iBatis, RMI, HTML, Access, SDLC, Java Enterprise Edition, Integration, Software Development, Teamwork, Spring, SOA, Spring Framework
Education
University of Madras 1995 — 1997
MCA, Computer Science
D.G Vaishnav College 1994 — 1997
Master of Computer Applications (M.C.A.), Computer Science
Standard & Poor's August 2015 - Present
Standard & Poor's February 2015 - Present
U.S. Securities and Exchange Commission September 2014 - December 2014
Financial Industry Regulatory Authority May 2014 - August 2014
International Securities Exchange (ISE) June 2013 - August 2013
Thomson Reuters June 2012 - May 2013
KPMG October 2010 - August 2011
UC Santa Cruz September 2009 - June 2010
KPMG June 2009 - August 2009
Google July 2007 - September 2007
Skills
Legal Writing, Securities Regulation, Financial Analysis, Legal Compliance, Corporate Finance, Financial Regulation, Regulatory Compliance, Finance, Auditing, Options, Accounting, Revenue Recognition, Westlaw, Legal Research, Sarbanes-Oxley Act, Microsoft Excel, Microsoft Office, Internal Controls, Budgets, Cash, Financial Reporting, Public Speaking, PowerPoint, Licensing, Mergers & Acquisitions, Access, Due Diligence, Excel, Sarbanes-Oxley, Legal Documents, Research, Corporate Law, Audit, Revenue Analysis, Financial Accounting, Financial Audits, Editorial, Financial Statements, Corporate Governance, Financial Services, Securities, Securities Market, SEC filings, Valuation, US GAAP, GAAP, Financial Modeling, Economics, Lexis, Leadership
Education
University of San Francisco School of Law 2011 — 2015
Juris Doctor (JD), Banking, Corporate, Finance, and Securities Law
University of San Francisco - Masagung Graduate School of Management 2012 — 2014
Master of Business Administration (MBA), Finance, General, 3.86
University of California, Santa Cruz 2006 — 2010
BA, Business Management Economics, Accounting
Saint Ignatius College Preparatory 2003 — 2006
HS Diploma
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Financial Industry Regulatory Authority May 2014 - April 2015
Brooklight Place Securities, Inc. March 2013 - May 2014
MTL Equity Products, Inc June 2008 - March 2013
JP Morgan Chase February 2007 - June 2008
PC Nation April 2006 - February 2007
Washington Mutual Bank August 2005 - April 2006
Osco Drug August 1999 - August 2005
Skills
Python, Mutual Funds, Series 7, Finance, Portfolio Management, Financial Analysis, Financial Modeling, Series 24, Fixed Income, Equity Valuation, Financial Regulation, Microsoft Excel, Financial Statement..., DCF Valuation, Asset Allocation, Series 65, Series 6, Corporate Finance, Derivatives, Alternative Investments, Fundamental Analysis, Outlook, Access, Microsoft Word, PowerPoint, Investment Policy..., Information Technology, Valuation, Equity Research
Education
University of Illinois at Urbana-Champaign 2001 — 2005
BS, Mathematics
Novo Nordisk August 2015 - Present
SPI Pharma July 2013 - July 2015
SPI Pharma June 2012 - August 2012
Financial Industry Regulatory Authority January 2010 - August 2011
ALDI Stores 2009 - 2009
Skills
Business Strategy, Data Analysis, Data Visualization, Tableau, Competitive Analysis, Market Research, Financial Modeling, Financial Analysis, Cross-functional Team..., Strategic Planning, Management Consulting, Project Management, Decision Modeling, Corporate Finance, Microsoft Excel, Change Control
Education
Robert H. Smith School of Business, University of Maryland 2011 — 2013
Master of Business Administration (M.B.A.), Consulting/Strategy
University of Maryland College Park 2007 — 2009
Bachelor of Science, Finance
Hilarious Inc. June 2014 - March 2015
Financial Industry Regulatory Authority July 2008 - February 2012
Financial Industry Regulatory Authority October 2007 - July 2008
Financial Industry Regulatory Authority May 2005 - October 2007
Skills
Organization, Writing, Logistics, Strategic Planning, Project Management, Legal Research, Outlook, Microsoft Excel, Research, Marketing Strategy, PowerPoint, Policy, Customer Service, Public Speaking, Dispute Resolution, Marketing, Public Relations, Management, Social Media, Teaching, Community Outreach, Microsoft Office, Event Planning
Education
University of California, San Diego 1988 — 1993
Carson High School, Carson, CA
Perkins Coie LLP May 2015 - Present
Commodity Futures Trading Commission, Division of Clearing and Risk July 2013 - May 2015
Goldman Sachs November 2012 - June 2013
Financial Industry Regulatory Authority August 2011 - December 2011
Professor Julian Velasco May 2011 - August 2011
Circuit Court of Cook County June 2010 - August 2010
Coordinated Advice & Referral Program for Legal Services June 2010 - August 2010
Education
University of Notre Dame Law School 2009 — 2012
J.D., Law, cum laude
University of Illinois 2005 — 2009
B.A., Economics
Cloudera August 2014 - Present
Financial Industry Regulatory Authority March 2014 - August 2014
Millennial Media January 2013 - February 2014
CRGT, Inc. August 2008 - January 2013
L-3 Communications/SyColeman January 2007 - August 2008
Skills
XML, JavaScript, Integration, HTML, Information Assurance, Network Security, Solaris, Systems Engineering, Linux, Requirements Analysis, Unix, Spring, Software Development, Perl, Security, Java Enterprise Edition, Weblogic, Enterprise Architecture, SOA, PL/SQL, LDAP, Apache, Unix Shell Scripting, Red Hat Linux, Disaster Recovery, Virtualization, System Administration, Databases, DNS, Bash, TCP/IP, Operating Systems, Shell Scripting, Web Services, JSP, Tomcat, Java, MySQL, Agile Methodologies, Web Applications, Hibernate, JSON, System Architecture, Eclipse, Oracle, PHP, Scrum, Software Engineering, Python, Spring Framework
Education
University of California, Berkeley
Johns Hopkins School of Public Health
Financial Industry Regulatory Authority January 2012 - Present
Northrop Grumman July 2007 - December 2011
Leidos October 2005 - July 2007
CGI June 1999 - August 2005
Northrop Grumman Corporation June 1997 - 1999
AAI Corporation June 1995 - January 1997
Skills
Tomcat, Spring, Hibernate, Java, SQL, Eclipse, XML, JSP, Oracle, JDBC, J2EE, jQuery, Struts, Prototype, DWR, JavaScript, Ruby on Rails, Ajax, HTML, CSS, SVN, Junit, GWT, XSLT, REST, Maven, Lucene, Quartz, BIRT, Jenkins, Git, Agile Methodologies
Education
University of Maryland College Park 1993 — 1997
BS
University of Maryland College Park 1993 — 1997
BS
NewWave Telecom & Technologies, Inc. September 2015 - Present
Financial Industry Regulatory Authority 2013 - 2013
Skills
Computer Science, Computer Hardware, Computer Hardware..., Computer Hardware..., Java, JavaScript, Ruby, Object Oriented Design, Object Oriented Software, OCaml, C, Assembly Language, HTML, PHP, AJAX, MySQL, Android Development, Bash, C++, Apache, XML, Windows, Unix, Linux, Eclipse, JUnit, JVM, Unity3D, Network Design
Education
University of Maryland Baltimore County 2014 — 2015
Master’s Degree, Cyber Security
University of Maryland College Park 2008 — 2012
Bachelor of Science (B.S.), Computer Science
Financial Industry Regulatory Authority February 2014 - Present
BNY Mellon November 2013 - February 2014
BNY Mellon July 2012 - October 2013
University of Canterbury May 2011 - November 2011
La Esperanza Granada December 2010 - February 2011
Statistics New Zealand July 2010 - October 2010
Skills
Economics, Financial Analysis, Risk Management, Investment Banking, Financial Modeling, Corporate Finance, Equity Research, Investments, Derivatives, Spanish, conversational French, Strategic Financial..., Analysis
Education
University of Canterbury 2011 — 2011
BCOM (HONS), Finance
University of Canterbury 2007 — 2010
BCOM, Economics
August Schell Enterprises September 2014 - Present
August Schell Enterprises September 2013 - September 2014
Financial Industry Regulatory Authority July 2010 - September 2013
Skills
Budgets, PowerPoint, Microsoft Office, Customer Service, Outlook, Access, QuickBooks, Analysis
Education
University of Mayland University College 2012 — 2014
Master of Business Administration (M.B.A.)
University of Maryland College Park 2005 — 2009
Bachelor of Science (BS), Family Science
LPL Financial April 2013 - Present
Financial Industry Regulatory Authority September 1998 - Present
Royal Alliance August 2000 - December 2010
Raymond James February 1997 - November 1999
Joseph Charles & Associates April 1995 - October 1997
Skills
FINRA, Compliance, Investment Advisory, Investments, Series 7, Mutual Funds, Securities, Asset Management, Series 24, Equities, Risk Management, Wealth Management, Series 63, Insurance, Fixed Income, Licensing, Retirement Planning, Supervisory Skills, Series 66, Microsoft Office, Problem Solving, Annuities, Banking, Series 65, Wealth, Broker-Dealer, Investment Advisory..., Bonds, Life & Health Insurance..., Stocks, Asset Managment, Fixed Annuities, Fraud, FinCEN, Compliance Monitoring, Relationship Management, Retirement, Asset Allocation, Variable Annuities, Financial Advisory, ETFs, Alternative Investments, IRAs, 401k, Investment Strategies, Investment Management, Estate Planning, Options
Education
University of Florida
University of West Georgia
Business
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority July 2013 - February 2014
Financial Industry Regulatory Authority February 2013 - July 2013
Grant/Morgan Associates July 2011 - February 2013
Abercrombie & Fitch June 2009 - June 2010
Skills
Human Resources, Customer Service, Microsoft Office, Applicant Tracking..., Time Management, Recruiting, Training, Talent Acquisition, College Recruiting, Performance Management, Onboarding
Education
University of Maryland University College 2011 — 2013
M.S., Human Resource Management
University of Maryland - Robert H. Smith School of Business 2005 — 2009
B.S., Marketing
Sherwood High School
Opower July 2015 - Present
Booz Allen Hamilton May 2013 - Present
Financial Industry Regulatory Authority October 2012 - May 2013
UMD-CATT Lab October 2011 - May 2012
Montclair State University May 2010 - July 2010
Skills
Core Java, C language, Ruby, OCaml, HTML, JavaScript, CSS, C, Programming, Java, jQuery, SQL, Microsoft Office, XML, Matlab, PowerPoint, Microsoft Word, Web Applications, Microsoft Excel
Education
University of Maryland College Park 2008 — 2012
Bachelor of Science (B.S.), Computer Science and Mathematics
Capital One Investing & Capital One Securities August 2015 - Present
City University of Seattle April 2010 - Present
Financial Industry Regulatory Authority October 2012 - August 2015
FINRA June 2006 - September 2012
Elliott Cove Capital Management January 2005 - June 2006
First Investors Corporation May 2004 - October 2004
Skills
AML, FINRA, Finance, Equities, Securities, Series 7, Securities Regulation, Strategic Financial..., Mutual Funds, Capital Markets, Hedge Funds, Investments, Series 24, Anti Money Laundering
Education
University of Florida - Warrington College of Business Administration 2008 — 2010
MBA, Business
University of Washington, Michael G. Foster School of Business 2005 — 2006
•Business Administration and Management Certificate
University of Washington 2000 — 2005
Economics
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority July 2010 - July 2015
Applied Industrial Technologies May 2008 - June 2010
HCL Technologies October 2004 - March 2008
Skills
Java, SDLC, Oracle, WebLogic, Eclipse, XML, Tomcat, Ant, JDBC, Servlets, GWT, SWT, AngularJS
Education
University of Madras
B.Tech, Information Technology
Fidelity Investments May 2015 - Present
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority November 2011 - May 2014
J.P. Morgan Asset Management June 2010 - October 2011
Weinberg Center for Corporate Governance January 2010 - June 2010
Skills
Trading, FINRA, Series 7, Securities, AML, Securities Regulation, Equity Trading, Project Management, Financial Markets, Asset Management, Market Making, Electronic Trading
Education
University of Delaware
B.S., Finance, Cum Laude
DK Web Design & Development October 2002 - Present
NYC Human Resources Administration, Office of Business Strategies & Solutions January 2013 - April 2015
Financial Industry Regulatory Authority April 2012 - September 2012
Merrill Lynch October 2005 - June 2011
Devon Kai Collections December 2002 - December 2010
Merrill Lynch January 2003 - October 2005
Merrill Lynch December 2001 - August 2003
Merrill Lynch February 2001 - January 2002
Servisound August 1997 - July 1999
Tough Boy Entertainment March 1991 - August 1991
Skills
PowerPoint, Excel, Access, MS Project, Outlook, Sharepoint, Wordpress, Dreamweaver, FrontPage, Toad for DB2, Adobe Photodeluxe, Photoshop, ASP, ASP.NET, VBScript, PHP, JavaScript, XML, CSS, HTML, Web Development, Product Management, Customer Relations, Analytics, Service Management, Account Management, Inventory Management, SQL, Visio, Web Project Management, CMS, Content Management, Business Analysis, E-commerce, Windows, MS Office Suite, Visual Basic, Databases, Web Design, Technical Writing, Web Applications, Requirements Gathering, Database Management, Application Development, Requirements Analysis, Web Analytics, VBA, Vendor Management, Java, Problem Solving
Education
The Learning Tree 2007 — 2007
ITIL Acheiving Foundation Certification
ESI International (Affiliated with George Washington University) 2006 — 2007
Associates Certificate, Project Management
Dick Grove School of Music 1990 — 1992
Associate, Recording Engineering
University of California, Los Angeles 1988 — 1990
Liberal Arts
Campbell Hall 1981 — 1988
Wonderland
Financial Industry Regulatory Authority May 2012 - Present
Randstad October 2011 - May 2012
University of Maryland Baltimore County February 2010 - May 2011
Skills
Accounting, Call Centers, Data Entry, Customer Service, Training, Interviews, Employee Relations, Microsoft Office, Coaching, Outlook, Time Management, Teamwork, Sales, Social Networking, PowerPoint, Microsoft Excel, Microsoft Word, Cold Calling, Team Building, Team Leadership, Risk Management, Conflict Resolution, Analysis, Human Resources, Policy, Quality Assurance, Recruiting
Education
University of Maryland Baltimore County 2007 — 2011
Bachelor of Arts (B.A.), Political Science and Government
Montgomery College March 2013 - Present
Montgomery College 2009 - 2013
Workforce Development and Continuing Education September 1996 - July 2007
Financial Industry Regulatory Authority 1998 - 2006
Skills
Non-profits, Teaching, Customer Service, Workshop Facilitation, Training, Higher Education, ESOL, Program Coordination, Nonprofits, Staff Development, E-Learning, Instructional Design, Distance Learning, Curriculum Design, ESL, Public Speaking
Education
University of Maryland Baltimore County
University of Maryland College Park
Financial Industry Regulatory Authority May 2014 - Present
Financial Industry Regulatory Authority September 2012 - Present
Financial Industry Regulatory Authority March 2010 - September 2012
Financial Industry Regulatory Authority July 2007 - March 2010
T. Rowe Price July 2006 - July 2007
T. Rowe Price August 2005 - June 2006
Education
University of Pennsylvania - The Wharton School 2014 — 2014
Certified Regulatory and Compliance Professional (CRCP)
University of Maryland - Robert H. Smith School of Business 2001 — 2005
Bachelor of Science, Marketing
Towson
Towson
Towson High
Field Street Capital Management, LLC June 2015 - Present
Financial Industry Regulatory Authority June 2014 - June 2015
Chicago Board of Trade February 2013 - April 2014
Law Offices of Neal M. Goldberg May 2012 - April 2013
Cook County Government January 2010 - June 2010
Stanford Financial Group May 2007 - August 2007
Skills
Word, Excel, Powerpoint, Research, Public Speaking, Writing, Legal Research, Microsoft Word, Microsoft Excel, Litigation, Contract Negotiation, PowerPoint, Negotiation, Spanish, Legal Writing, Personal Injury, Westlaw, Outlook, Microsoft Office, Financial Analysis, Equities, Trading
Education
The John Marshall Law School 2010 — 2013
Juris Doctor (J.D.), Corporation Law/Security Law/Commercial Law
University of Illinois at Urbana-Champaign
Bachelor's Degree, Economics
Lake Zurich Senior High School 2002 — 2005
Capgemini Government Solutions August 2015 - Present
NETE December 2013 - December 2014
Financial Industry Regulatory Authority October 2012 - December 2013
Financial Industry Regulatory Authority August 2011 - October 2012
Financial Industry Regulatory Authority October 2009 - August 2011
Skills
Consulting, Writing, Analysis, Business Process..., Financial Regulation, Program Management, Project Coordination, Microsoft Excel, Public Speaking
Education
University of Maryland College Park 2005 — 2009
Bachelor’s Degree, Communication
Porcelanosa-USA June 2015 - Present
Cannon Hill Logistics November 2014 - February 2015
Buca di Beppo October 2011 - November 2014
Financial Industry Regulatory Authority September 2012 - January 2013
Enterprise Rent-A-Car May 2010 - October 2011
Abt Associates, Inc December 2009 - March 2010
Skills
Employee Benefits, Performance Management, Interviews, Customer Service, Call Centers, Sales, Management, Human Resources, Employee Training, Social Networking, New Hire Orientations, Time Management
Education
University of Maryland University College
Master’s Degree, Acquisition and Supply Chain Management
University of Maryland University College 2011 — 2014
Master of Science (M.S.), Acquisition and Supply Chain Management
University of Maryland College Park
BA, Communication
ACA, LLC July 2008 - January 2009
RYDEX INVESTMENTS, INC April 2005 - July 2008
Financial Industry Regulatory Authority February 2002 - April 2005
NASDAQ September 2001 - February 2002
Education
University of Maryland College Park
B.A, Government & Politics
Financial Industry Regulatory Authority August 2013 - Present
Snyder Kearney LLC June 2011 - June 2013
MiTAC Digital Corporation June 2010 - July 2010
Education
University of Maryland College Park 2007 — 2011
Financial Industry Regulatory Authority May 2011 - Present
FBR Capital Markets January 2010 - December 2011
Broadscope LLC April 2009 - January 2010
Wells Real Estate Funds August 2007 - January 2009
FINRA October 1997 - August 2007
Skills
Risk Assessment, AML, Auditing, Regulations, Securities, FINRA, Internal Controls, Finance, Policy, SEC, Leadership, Broker-Dealer, Securities Regulation, Series 24, Training, ETFs, Corporate Governance, Hedge Funds, Series 7, Mutual Funds, Program Management, Anti Money Laundering
Education
University of Georgia - Terry College of Business
Financial Industry Regulatory Authority March 2010 - Present
Skills
Microsoft Excel, Microsoft Office, Analysis, Risk Assessment, Due Diligence, Research, Security, Risk Management, Financial Analysis, Customer Service, Economics, Strategic Planning
Education
Ewha Womans University 2002 — 2005
Master's Degree, International Business
University of Maryland College Park 1995 — 1999
Bachelor's Degree, Political Science and Government
Financial Industry Regulatory Authority July 2014 - Present
Financial Industry Regulatory Authority May 2011 - July 2014
Financial Industry Regulatory Authority July 2009 - April 2011
Financial Industry Regulatory Authority October 2007 - July 2009
Financial Industry Regulatory Authority January 2007 - September 2007
Merrill Lynch June 2004 - December 2006
U.S. Bankruptcy Court for the Central District of California September 1997 - May 2004
Education
University of California, Irvine
Bachelor of Arts (B.A.)
Washburn University School of Law
Financial Industry Regulatory Authority January 2012 - Present
Foley & Lardner LLP January 1990 - December 2011
Education
University of Illinois at Urbana-Champaign 1982 — 1989
Financial Industry Regulatory Authority January 1999 - Present
Investment Companies Institute June 1997 - January 1999
Morrison & Foerster LLP July 1990 - June 1997
Skills
Series 7, Equities, SEC, Financial Regulation, Series 24, Capital Markets, Mutual Funds, Fixed Income, Alternative Investments, Securities Regulation, FINRA, Corporate Law, Due Diligence, Corporate Governance, Securities
Education
University of California, Berkeley 1984 — 1987
Master of Public Policy, Public Policy
University of California, Hastings College of the Law 1983 — 1987
Juris Doctor, Law
University of Virginia 1978 — 1982
Bachelor of Arts (B.A.), History & Economics
Presti & Company P.C. 1995 - Present
Financial Industry Regulatory Authority 2000 - May 2015
Baker College June 1994 - March 2009
Cargill Detroit Corporation 1993 - 1995
Deloitte & Touche 1987 - 1993
Plante & Moran 1984 - 1987
Skills
Accounting, Financial Analysis, Auditing, Financial Reporting, Strategic Financial..., Mergers, Estate Planning, Tax, Financial Modeling, Budgets, Analysis, Managerial Finance, Management Consulting, Small Business, Strategic Planning, Microsoft Excel, Due Diligence, Investments, Research, Business Planning
Education
Walsh College of Accountancy and Business Administration 1990 — 1994
Master's Degree, Finance and Taxation
University of Detroit Mercy 1980 — 1984
Bachelor's Degree, Accounting, Magna Cum Laude
Earth Networks January 2015 - Present
Financial Industry Regulatory Authority June 2011 - January 2015
FINRA June 2010 - August 2010
Financial Industry Regulatory Authority (FINRA) May 2009 - December 2009
Skills
Spring, JavaScript, HTML, Java, Eclipse, C#, XML, ASP.NET, Visual Studio
Education
University of Maryland College Park 2007 — 2011
Bachelors, Computer Science
Loyola Blakefield 2003 — 2007
Financial Industry Regulatory Authority October 2009 - Present
Education
University of Maryland College Park
Bachelor of Science (B.S.), Finance
Gwynn Park High School
MedImmune November 2008 - Present
TD Ameritrade October 2007 - October 2008
Financial Industry Regulatory Authority 1997 - 2005
Skills
Project Management, PMO, SDLC, Software Project..., Requirements Analysis, PMP, Enterprise Software, Change Management, Project Portfolio..., IT Strategy, Vendor Management, Enterprise Architecture, Cross-functional Team..., Program Management, Agile Project Management
Education
University of Madras 1993 — 1997
Bachelor of Engineering, Computer Science
Financial Industry Regulatory Authority June 2011 - Present
FINRA 2004 - May 2011
Verizon Business 2001 - 2004
Education
University of Maryland College Park
Master of Science (M.Sc.), Computer Systems Networking and Telecommunications
Financial Industry Regulatory Authority March 2012 - Present
FINRA January 2010 - March 2012
FINRA March 2007 - January 2010
NASD September 2003 - March 2007
NASD June 2000 - September 2003
Skills
FINRA, Compliance, Trading, Auditing, SEC reporting
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2008
MS, Accounting and Business/Management
University of Maryland - Robert H. Smith School of Business 1996 — 2000
BS, Finance
McKesson Medical-Surgical January 2014 - Present
Avnet, Inc. October 2007 - January 2014
Financial Industry Regulatory Authority May 2003 - October 2007
Ciber, Inc. March 1999 - May 2003
Skills
C#, VB.NET, ASP.NET, Visual Studio, AJAX, JavaScript, Microsoft SQL Server, T-SQL, Oracle PL/SQL..., Windows Server, IIS, Virtualization, SQL
Education
University of Maryland University College 1993 — 1997
Bachelor of Science (BS), Computer Science
The Carlyle Group November 2014 - Present
Financial Industry Regulatory Authority September 2011 - November 2014
T. Rowe Price May 2011 - September 2011
T. Rowe Price November 2009 - May 2011
Skills
Securities, Analysis, Management, Investments, Finance, Leadership, Equities, Mutual Funds, Portfolio Management, Financial Analysis, Bloomberg, Investigation, Financial Regulation, FINRA, Series 63, Series 7, Strategic Financial..., Bonds, Data Analysis, Process Improvement, Financial Services, Series 6, Fixed Income, Asset Managment, Operations Management, Order Audit Trail, Stock Market Analysis, Capital Markets, Financial Investigation, Financial Modeling, Excel Dashboards, Securities Regulation, Securities Fraud, Market Manipulation..., Equity Capital Markets
Education
Virginia Tech 2012 — 2015
Master of Business Administration (MBA), Organizational Strategy, Currently Obtaining
University of Maryland - Robert H. Smith School of Business 2007 — 2009
Bachelor of Science, Finance
Lab49 April 2014 - Present
Opower February 2013 - March 2014
InfoReliance July 2011 - February 2013
Financial Industry Regulatory Authority December 2010 - July 2011
InfoReliance October 2006 - August 2010
Insight Systems May 2005 - September 2006
Jorge Scientific Corporation January 2001 - May 2005
Global One January 1999 - June 2001
PSI INTERNATIONAL, Inc. May 2000 - January 2001
Skills
Java, JSF, JPA, Spring, Hibernate, Oracle, Spring Batch, RESTful WebServices, ElasticSearch, Agile Methodologies, Integration, XML, SOA, Software Development, Enterprise Architecture, JavaScript, C#, Web Services, jQuery, Web Development, Requirements Analysis, SQL, ASP.NET, SDLC
Education
University of Maryland College Park 1993 — 2000
B.S., Computer Science
Northrop Grumman Information Systems January 2011 - Present
Financial Industry Regulatory Authority May 2006 - December 2010
Skills
ClearQuest, Test Cases, WinRunner, System Testing, Software Quality..., Defect Tracking, Integration Testing, Management, Project Management, QTP, Quality Center, Regression Testing, Requirements Analysis, SDLC, SQL, System Integration..., Test Automation, Test Planning
Education
University of Maryland Baltimore County 2002 — 2006
Information Technology Management, Information Systems
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority June 2014 - June 2015
Ipreo US, LLC January 2010 - December 2013
Ipreo US, LLC August 2007 - December 2009
IRIS Center,University of Maryland,College Park February 2005 - February 2006
Republic of Korea Army February 2002 - April 2004
Skills
Economics, Hedge Funds, Equities, Fixed Income, Derivatives, Capital Markets, Financial Markets, Emerging Markets
Education
University of Maryland - Robert H. Smith School of Business 2013 — 2016
Master of Business Administration (MBA), Finance, General
University of Maryland College Park 2004 — 2007
Bachelor of Arts (BA), Economics
Financial Industry Consulting Associates, LLC August 2007 - Present
Capital Investment Companies September 2004 - July 2007
Financial Industry Regulatory Authority December 1998 - August 2004
Skills
Securities Licenses: ..., Investments, Wealth Management, Investment Advisory, Risk Management, Series 7, Broker-Dealer, Compliance, Training, Series 24, Series 53, Series 28, Series 66, Series 79, Series 4, Series 99, Operations Management, Anti Money Laundering, Auditing
Education
University of Georgia - Terry College of Business 1994 — 1998
BBA, Finance
University of Georgia 1994 — 1998
Minor, Speech Communications
Financial Industry Regulatory Authority July 2013 - Present
PwC 2008 - Present
Skills
Internal Controls, Sarbanes-Oxley Act, Auditing, Internal Audit, IT Audit, External Audit, Assurance, CISA, COSO, SOX 404, GAAP, Big 4, ITGC, IT Controls, SSAE 16, COBIT, Governance, Process Improvement, Business Process, Oracle E-Business Suite, Change Management, Project Management, US GAAP
Education
University of Maryland College Park 2004 — 2008
BA, Accounting. Information Systems
Financial Industry Regulatory Authority February 2007 - Present
OnStar, General Motors August 2005 - January 2007
EPace Technologies Inc January 2005 - August 2005
Skills
Cognos, Oracle, SQL, PL/SQL, Data Analysis, Database Administration, Dimensional Modeling, JavaScript, XML
Education
University of Illinois at Chicago 2000 — 2003
Masters, Engineering
University of Madras 1996 — 2000
B.E, Engineering
Financial Industry Regulatory Authority January 2010 - Present
Financial Industry Regulatory Authority May 2007 - December 2010
Financial Industry Regulatory Authority May 2003 - May 2007
Education
University of Maryland College Park 1996 — 2000
BA, Psychology
Financial Industry Regulatory Authority November 2005 - Present
Financial Industry Regulatory Authority November 2005 - Present
Financial Industry Regulatory Authority April 2004 - November 2005
Financial Industry Regulatory Authority December 2002 - April 2004
Financial Industry Regulatory Authority September 2000 - December 2002
NCSI January 1999 - September 2000
NCSI May 1996 - April 2000
Education
University of Maryland University College 1993 — 1994
Bachelors, Business Management
Drinker Biddle & Reath LLP September 2014 - Present
Drinker Biddle & Reath LLP May 2013 - July 2013
Accenture/DLA Piper August 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Active Transportation Alliance April 2010 - August 2011
Korean American Community Services September 2008 - March 2010
Patzik, Frank, and Samotny, LLC. January 2006 - September 2006
Crossing Borders June 2004 - January 2006
Office of Educational Technology August 2003 - May 2004
Skills
Nonprofits, Fundraising, Grant Writing
Education
Chicago Kent 2011 — 2014
Doctor of Law (J.D.)
University of Chicago 2007 — 2008
Master's, Social Sciences, Anthropology
Yonsei University
University of Illinois at Urbana-Champaign
B.A, International Studies
University of Illinois at Urbana-Champaign
Bachelor of Arts (B.A.), International Studies
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Freddie Mac December 2014 - July 2015
DC Housing Authority May 2014 - December 2014
Northern Virginia Family Service March 2014 - May 2014
PayTango October 2013 - March 2014
Financial Industry Regulatory Authority January 2012 - October 2013
Financial Industry Regulatory Authority March 2011 - January 2012
Skills
Financial Modeling, Data Analysis, Microsoft Excel, Financial Analysis, Valuation, Research, Business Analysis, Capital Markets, BlackRock Aladdin, Bloomberg, Derivatives, Statistics, Access, Microsoft Office, Analytics, Strategic Planning, Budgets, Market Research, Social Media, Requirements Analysis, Employee Benefits, HUD Audits, Customer Service
Education
University of Maryland University College 2012 — 2014
Master's Degree, Financial Management and Information Systems
University of Maryland College Park 2005 — 2009
Bachelor's Degree, Finance
MLB Advanced Media February 2014 - Present
Amazon.com July 2011 - January 2014
Financial Industry Regulatory Authority June 2009 - August 2010
University of Maryland, College Park 2008 - 2009
Skills
Java, iOS, Objective-C, JavaScript
Education
University of Maryland College Park 2007 — 2011
BS, Computer Science
Financial Industry Regulatory Authority April 2005 - Present
United States Department of Commerce June 2004 - December 2004
Skills
FINRA, Securities, Financial Regulation, Equities, Options, Financial Services, Analysis, Anti Money Laundering, Financial Analysis, Risk Management, Investments, Data Analysis, Microsoft Office, Trading
Education
University of Maryland College Park 2000 — 2004
BA, Economics
Andersen Tax January 2014 - Present
PwC August 2013 - October 2013
Financial Industry Regulatory Authority January 2013 - April 2013
Western Asset Management June 2012 - August 2012
Western Asset Management June 2009 - August 2009
Western Asset Management June 2008 - August 2008
Skills
Financial Analysis, Investments, Tax, Public Speaking, Mutual Funds, Private Equity, Asset Management, Bloomberg, Portfolio Management, Securities, Legal Writing, Legal Research, Financial Services
Education
Whittier Law School 2010 — 2013
JD, Business Law
University of California, Irvine 2006 — 2010
Bachelor of Arts (B.A.)
Loyola High School 2002 — 2006
UC Irvine
Accent on Languages, Inc. January 2010 - Present
Financial Industry Regulatory Authority August 1983 - June 1990
Skills
Accounting, QuickBooks, Public Relations, Financial Statements, Nonprofits, Cost Accounting, Management, GAAP, Teaching, Account Reconciliation
Education
University of California, Berkeley, Haas School of Business 1979 — 1983
BS, Finance/Accounting
Allocated Financial Planning May 2015 - Present
Financial Industry Regulatory Authority August 2011 - April 2015
Bain Capital August 2008 - August 2011
Skills
Retirement Planning, Asset Allocation, Financial Regulation, Regulatory Compliance
Education
University of Maryland - Robert H. Smith School of Business 2013 — 2016
Master of Business Administration (M.B.A.)
Westfield State University 2004 — 2008
Bachelor of Arts & Bachelor of Science, Criminal Justice & Economics
Financial Industry Regulatory Authority May 2006 - Present
Financial Industry Regulatory Authority May 1999 - May 2006
Skills
Securities, Securities Fraud, Securities Regulation, Fraud Detection, Fraud Investigations, Reporting & Analysis, Depositions, Public Speaking, Communication, Data Analysis, Series 7, Series 8, Equities, Anti Money Laundering, Mutual Funds, Due Diligence, Financial Services, Investments, FINRA
Education
University of Colorado at Boulder 1991 — 1995
Financial Industry Regulatory Authority March 2012 - Present
Council For Resource Development September 2011 - December 2012
Population Services International April 2011 - September 2011
FINRA July 2010 - December 2010
Albin O. Kuhn Library & Gallery, University of Maryland, Baltimore County September 2007 - May 2010
Skills
Training, Human Resources, Databases, Administrative..., Microsoft Excel, Research, SharePoint, Microsoft Office, PowerPoint, Policy, Event Management
Education
University of Maryland Baltimore County 2005 — 2010
BA, Psychology, and Sociology
Cloud Partners TM June 2015 - Present
Financial Industry Regulatory Authority June 2013 - June 2015
The College Board December 2008 - May 2013
Freddie Mac March 2004 - December 2008
AOL June 2003 - February 2004
EYT; formerly, Ernst & Young Technologies July 2000 - September 2002
Skills
Databases, IT Service Management, Business Intelligence, ITIL, MS Project, Integration, PMP, Security, SDLC, Project Management, Solaris, SQL, Oracle, Data Management, Agile Methodologies
Education
University of Delaware
B.S.
Financial Industry Regulatory Authority November 2010 - Present
Realty USA January 2010 - January 2014
Skills
Financial Analysis, Analysis
Education
University of Maryland - Robert H. Smith School of Business 2006 — 2010
BS, Accounting
Hire Counsel January 2015 - Present
FTI Consulting February 2014 - December 2014
Financial Industry Regulatory Authority August 2010 - December 2010
Fox Filmed Entertainment September 2009 - December 2009
Skills
Legal Research, Litigation, Legal Writing, Civil Litigation, Mediation, HPLC, Chromatography, Mass Spectrometry, Commercial Litigation, Microsoft Office, Intellectual Property, Microsoft Excel, Corporate Law, Real Estate, Research, Courts, Bankruptcy, Entertainment Law, Securities Regulation, Appeals, Westlaw
Education
University of Southern California Law School 2008 — 2011
Doctor of Law (JD)
University of Illinois at Urbana-Champaign 2005 — 2008
Bachelor of Science (BS)
Needles, Inc. May 2013 - Present
Financial Industry Regulatory Authority September 2008 - May 2013
SRA International May 2008 - August 2008
RedXDefense, LLC May 2007 - April 2008
Flagship Customs Services December 2003 - April 2007
Skills
Spring, Toad, Agile Methodologies, Web Services, XML, Enterprise Architecture, PL/SQL, Database Design, Perl, Unix Shell Scripting, ASP.NET, Microsoft SQL Server, Visual Studio Team..., Visual Studio, Visual C#, ASP.NET MVC, Software Project..., Project Management, Risk Management, Risk Assessment, Financial Reporting, Financial Analysis, Financial Risk, Corporate Finance, Tomcat, Hibernate, Java Enterprise Edition, Java, Integration, C#, Architecture, MySQL, SOA, Architectures, XSLT, Distributed Systems
Education
Keller 2009 — 2013
Master of Business Administration (MBA), Banking, Corporate, Finance, and Securities Law, 4.0
University of Maryland College Park 2000 — 2003
Bachelor of Science (BS), Mathematics and Computer Science, 3.5
Financial Industry Regulatory Authority October 2012 - Present
REI May 2011 - Present
Financial Industry Regulatory Authority May 2012 - October 2012
Financial Industry Regulatory Authority January 2012 - April 2012
UMD Outdoor Recreation Center August 2010 - August 2011
Skills
Public Speaking, PowerPoint, Data Analysis, Microsoft Excel, Microsoft Office
Education
University of Maryland College Park
Economics
The Whiting-Turner Contracting Company April 2015 - August 2015
AmeriCorps May 2014 - August 2014
Morgan Stanley July 2012 - April 2014
Financial Industry Regulatory Authority October 2011 - May 2012
Smithsonian Institution June 2010 - July 2010
Education
University of Maryland College Park 2014 — 2015
Master of Engineering (M.Eng.), Sustainable Energy Engineering, Graduate
University of Maryland College Park 2006 — 2010
Bachelors of Science, Fire Protection Engineering
Kutak Rock September 2013 - Present
Financial Industry Regulatory Authority August 2012 - November 2012
Kutak Rock June 2012 - August 2012
Federal District Court, District of Colorado January 2012 - April 2012
Kutak Rock June 2011 - July 2011
California Department of Corrections and Rehabilitation October 2009 - August 2010
California Department of Public Health February 2009 - October 2009
Pacific Tech Management June 2008 - February 2009
Education
University of Denver - Sturm College of Law 2010 — 2013
Juris Doctor (J.D.), Law
UC Santa Cruz 2003 — 2008
Bachelor’s Degree, Business Management and Legal Studies
JPMorgan Chase October 2011 - Present
Financial Industry Regulatory Authority October 2005 - October 2011
Texas Savings and Loan Department January 2002 - October 2005
Skills
FINRA, Securities, Securities Regulation, KYC, Financial Analysis, Financial Regulation, USA PATRIOT Act, Auditing, Uniform Combined State..., Financial Reporting, Legal Compliance, Regulatory Compliance, Fraud Investigations
Education
Texas A&M Commerce 2010 — 2012
Masters, Business Administration
University of Houston 1996 — 2000
Bachelors Degree of Business Administration, Management
Banco Santander International June 2014 - Present
Stratco Property Group Inc. August 2013 - May 2014
St. Vincent De Paul Legal Program, Inc. August 2012 - December 2012
Financial Industry Regulatory Authority May 2012 - August 2012
Legal Services NYC August 2011 - May 2012
New York City Department of Finance May 2011 - August 2011
Miami-Dade Public Defender's Office May 2010 - August 2010
ClickOn Advertising, Inc. September 2008 - May 2010
Bennett, Aiello, Cohen & Fried May 2009 - August 2009
Dante, Inc. June 2008 - August 2008
Skills
Spanish, Legal Writing, Legal Research, Quickbooks, Westlaw, Investments, Microsoft Excel, Microsoft Word
Education
St. John's University School of Law 2010 — 2013
Juris Doctor, June 2013
University of Florida - Warrington College Of Business 2006 — 2010
Bachelor of Science, Finance
Belen Jesuit Preparatory School 1998 — 2006
FINRA September 2008 - January 2014
Financial Industry Regulatory Authority 1982 - January 2014
Skills
Securities, FINRA, Securities Regulation, AML, Series 7, Capital Markets, Financial Regulation, Financial Services, Equities, Options, SEC, Anti Money Laundering, Series 24, Series 63
Education
University of Colorado at Boulder
QC Home Improvements July 2000 - Present
Financial Industry Regulatory Authority November 2006 - July 2010
AMS January 2002 - August 2006
Education
University of Maryland Baltimore County 1997 — 2000
MS, ISD
Virginia Polytechnic Institute and State University 1990 — 1994
BS, Education
Financial Industry Regulatory Authority March 2012 - Present
Citi 2003 - February 2012
Citi (SalomonSmithBarney) 1999 - 2003
TUDOR INVESTMENT CORPORATION 1994 - 1999
Skills
Equities, Analytics, Financial Services, Capital Markets, Executive Management, Investor Relations, Fixed Income
Education
University of California, Irvine
Bachelor of Arts (B.A.), Social Science
Financial Industry Regulatory Authority March 2007 - Present
Fannie Mae February 2002 - February 2007
Education
University of Maryland College Park 1990 — 1992
MBA, Information Technology
University of Maryland College Park
BS, Electrical Engineering
Jones Lang LaSalle Securities, LLC and LaSalle Investment Management Distributors, LLC November 2013 - Present
Financial Industry Regulatory Authority December 1998 - Present
Guggenheim Funds February 2006 - October 2013
Guggenheim Funds Investment Advisors, LLC and Guggenheim Funds Distributors, LLC October 2010 - September 2011
Claymore Investments, Inc February 2006 - March 2011
Harris Investment Management, Inc. and HIM Monegy, Inc. October 2003 - January 2006
Harris Investor Services LLC May 2002 - October 2003
Harris Investorline, Inc August 1999 - May 2002
Van Kampen Investments Inc July 1992 - July 1999
Financial Industry Regulatory Authority October 1987 - June 1992
Skills
Certified Financial..., Investments, Mutual Funds, FINRA, Portfolio Management, Securities, Investment Advisory, SEC, Investment Management, ETFs, Fixed Income
Education
CFA Institute
University of Illinois - Champaign/Urbana
B.A, Economics/Finance
University of Illinois at Urbana-Champaign
BS, Econ/Finance
Bank of America Merrill Lynch May 2015 - Present
Credit Suisse May 2011 - May 2015
Financial Industry Regulatory Authority May 2009 - July 2009
Financial Industry Regulatory Authority May 2008 - November 2008
Sidley Austin June 2005 - July 2007
Education
Villanova Law School 2007 — 2010
Doctor of Law (J.D.), Law
Villanova University - School of Business 2001 — 2005
Bachelor of Science (B.S.), Marketing, Internatiomal Business
University of Cambridge
Institute of Economic and Political Studies
California State University, East Bay July 2012 - Present
California State University, East Bay October 2008 - July 2012
Financial Industry Regulatory Authority 2004 - 2005
McKesson 1995 - 2000
Administrative Office of the Courts, Judicial Council of California 1990 - 1995
Charles Schwab 1987 - 1990
Bank of America 1984 - 1987
Bank of America 1981 - 1984
Skills
California Certified..., Internal Audit, Internal Controls
Education
California State University, East Bay
CPA required Accounting & Business Law courses for the CPA exam
UC Berkeley
Bachelor of Arts (B.A.), English Literature (British and Commonwealth)
The Inn at Brookeville Farms February 2012 - Present
Financial Industry Regulatory Authority May 2011 - February 2012
The Inn at Brookeville Farms May 2001 - May 2011
Skills
Serve Safe Certified, TAM, TIPS Certified, Banking, Hospitality, P&L Analysis, Customer Service, ServSafe, Loans, Microsoft Office, Restaurant Management
Education
University of Maryland College Park 2007 — 2009
Bachelor of Arts (BA), Criminalogy and Criminal Justice
University of Nevada-Las Vegas 2008 — 2008
Criminology
Financial Industry Regulatory Authority July 2010 - Present
Financial Industry Regulatory Authority October 2005 - June 2010
Financial Industry Regulatory Authority November 2004 - October 2005
NASDAQ February 2002 - November 2004
NASDAQ February 2000 - February 2002
NASDAQ March 1997 - January 2000
NASDAQ January 1995 - February 1997
H. Beck, Inc. May 1989 - December 1994
Education
University of Maryland - Robert H. Smith School of Business 1985 — 1989
Finance
Financial Industry Regulatory Authority 2011 - Present
Signature Financial Partners, LLC 2010 - 2011
Capital One 2006 - 2007
Skills
FINRA, Microsoft Office
Education
University of Maryland College Park
Bachelor of Arts (BA), Economics
Westminster High School August 2013 - Present
National Zoo January 2013 - Present
Symbiotic Aquatics January 2013 - Present
Clarice Smith Performing Arts Center August 2010 - Present
Financial Industry Regulatory Authority May 2013 - August 2013
Skills
Policy Writing, Project Planning, Software, Environmental Education, Animal Husbandry, People Skills, Sprints, Environmental...
Education
University of Maryland College Park 2010 — 2014
Bachelor's degree, Environmental Science, Senior
LPL Financial August 2015 - Present
Financial Industry Regulatory Authority October 2013 - August 2015
Financial Industry Regulatory Authority June 2012 - October 2013
U.S. Census Bureau January 2012 - June 2012
Department of Commerce August 2011 - December 2011
Skills
Securities Regulation, Securities, Legal Compliance, Financial Regulation, Regulatory Compliance, Data Analysis, Customer Service, Legal Research, Corporate Law, Corporate Governance, Business Writing, Litigation, Resume Writing, Microsoft Office, Trade Compliance, Short Sales, Troubleshooting, Trading
Education
University of Maryland College Park 2009 — 2012
Bachelor's Degree, 3.5 GPA
University of South Carolina-Columbia 2008 — 2009
3.9 GPA