Financial Industry Regulatory Authority (FINRA)
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 (FINRA) Employees
KeyPoint Government Solutions April 2011 - September 2015
Financial Industry Regulatory Authority (FINRA) February 2009 - December 2012
Conference on Asian Pacific American Leadership (CAPAL) April 2009 - December 2011
Tavalon Tea November 2008 - April 2011
Skills
Analysis, Private Investigations, Government, Diligent, Non-profits, Policy, Nonprofits, Project Management, Policy Analysis, Security Clearance, Management, Detailed Analysis, Great People Skills, Investigations, Public Policy, International Relations, Program Management, Leadership, Federal Government, Background Checks, Sales, Customer Service, Client Relations
Education
University of Illinois at Urbana-Champaign 2004 — 2008
B.A., Communication
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Prudential Financial January 2010 - July 2014
Prudential Financial September 2007 - January 2010
Community Preservation Corporation June 2005 - September 2007
Skills
Securities, FINRA, Series 6, Insurance, Microsoft Office, Background Checks, Training, Compliance, Work Well Independently, Highly detail oriented, Due Diligence, Financial Regulation
Education
University of Scranton 2009 — 2012
Master of Business Administration (MBA), Finance, General
University of Scranton 2001 — 2005
Bachelor of Science (BS), Finance, General
Software AG August 2013 - Present
FortMoon Consulting June 2005 - August 2013
Firejack Technologies November 2012 - May 2013
Freddie Mac January 2012 - November 2012
Ivory Cloud June 2011 - May 2012
JackBe Corporation April 2010 - January 2012
GXS October 2007 - September 2009
NASD July 2005 - January 2007
TIBCO 2007 - 2007
Financial Industry Regulatory Authority-FINRA 2005 - 2007
Skills
SOA, Java, Web 2.0, Application Architecture, Mashups, Software Development..., Enterprise Software, Cloud Computing, Enterprise Architecture, Security, Agile, SaaS, Program Management, Software Development, Web Services, XML, System Architecture, J2EE, Governance, Spring, Software Engineering, Linux, UML, MySQL, Solution Architecture, Unix, IT Strategy, Hibernate, Integration, JavaScript, Virtualization, Business Intelligence, Distributed Systems, JSP, Product Management, Scrum, Coaching, Solaris, User Interface Design, Agile Methodologies, Java Enterprise Edition, SDLC, Software Project..., Open Source, Big Data, Amazon Web Services..., Cloud Security, Cloud Computing IaaS, Scalability, Web Applications
Education
Dickinson College 1986 — 1990
BS, Physics
Greenberg & Weinmann January 2015 - Present
U.S. Securities and Exchange Commission August 2014 - December 2014
USC Gould School of Law June 2014 - October 2014
Financial Industry Regulatory Authority (FINRA) May 2014 - August 2014
USC Gould School of Law September 2013 - May 2014
Financial Industry Regulatory Authority (FINRA) May 2013 - August 2013
Berman, Berman, Berman, Schneider & Lowary LLP August 2011 - March 2012
University of California, Riverside May 2010 - August 2010
Family Law Assistance Center, Inc. September 2009 - January 2010
Berman, Berman, Berman, Schneider & Lowary LLP May 2008 - June 2009
Skills
Microsoft Excel, PowerPoint, Microsoft Office, Public Speaking, Microsoft Word, Teamwork, Legal Research, Legal Writing, Investigation, Securities Regulation, LexisNexis, Litigation, Westlaw, Civil Litigation, Courts, Legal Assistance, Hearings
Education
University of Southern California - Gould School of Law 2013 — 2015
Juris Doctor
University of California, Riverside - A. Gary Anderson Graduate School of Management 2009 — 2011
Master of Business Administration (MBA)
University of California, Riverside 2005 — 2009
Bachelor of Business Administration (BBA)
Duarte High School
Zengo Cycle September 2015 - Present
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Clyde's Restaurant Group June 2014 - November 2014
Juvenile Diabetes Research Foundation- Palmetto Chapter January 2013 - May 2013
Presidential Bank May 2012 - August 2012
Presidential Bank May 2011 - August 2011
Presidential Bank May 2010 - August 2010
Skills
PowerPoint, Microsoft Office, Social Media, Public Relations, Microsoft Word, Event Planning, Meeting Scheduling, Customer Service..., Customer Service, Public Speaking, Social Networking, Microsoft Excel, Teamwork, Facebook, Banking
Education
University of South Carolina-Columbia 2010 — 2014
Bachelor of Arts (BA), Public Relations
RS Investments September 2013 - Present
Financial Industry Regulatory Authority (FINRA) June 2010 - September 2013
New York Stock Exchange June 2008 - July 2010
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, English, Windows, Research, Outlook, Public Speaking, HTML, Editing, Options, Trading, FINRA, Securities Regulation, Equities, Financial Markets, Analysis, Securities, Investments, Risk Management, Derivatives, Compliance, Regulatory Requirements, Market Risk, Regulatory Examinations, Series 7, Variable Annuities, Disclosure Statements, Deposition, Sell Side, Proprietary Trading, Capital Markets, Market Making, Series 24, Equity Trading, Hedge Funds, Asset Management
Education
Mesa State College (Colorado Mesa University)
Bachelor of Arts (B.A.)
University of Colorado Boulder
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE June 2013 - December 2014
Willamette Management Associates October 2012 - June 2013
PEAK6 Investments LP March 2011 - August 2011
Chicago Trading Company June 2008 - January 2009
Skills
Microsoft Office Suites..., Information Technology..., Computer Applications,..., Generating investor..., Hedging strategies with..., Constructing..., Active Directory, Databases, Derivatives, Finance, Portfolio Management, Servers, Corporate Finance, Options, Teamwork, Leadership
Education
University of Illinois at Urbana-Champaign - College of Business 2008 — 2012
Bachelor of Science (BS), Finance
Lemont High School 2004 — 2008
Robbins Geller Rudman & Dowd LLP September 2012 - Present
Edward Jones January 2012 - May 2012
US Securities and Exchange Commission September 2011 - December 2011
Financial Industry Regulatory Authority (FINRA) May 2011 - August 2011
U.S. Senator Richard J. Durbin July 2010 - August 2010
Winston & Strawn LLP November 2007 - August 2009
Education
Washington University in St. Louis 2009 — 2012
J.D.
University of Illinois at Urbana-Champaign 2003 — 2006
B.A., Political Science
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Education
University of Richmond 2009 — 2013
Bachelor of Science (BSc), Chemistry
Uppsala universitet 2011 — 2011
Organic Chemistry
Scituate High School 2005 — 2009
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Law Office of Young W. Ryu July 2015 - August 2015
Kaufman Dolowich & Voluck, LLP May 2015 - July 2015
Law Offices of Edi M. O. Faal June 2014 - August 2014
The Volunteer Legal Services of the Bar Association January 2013 - May 2013
North Orange County Youth Soccer Premier League January 2006 - August 2011
Skills
Microsoft Office, Microsoft Excel, PowerPoint, Public Speaking, Research, Event Planning, Social Media, Community Outreach, Facebook, Editing, Nonprofits, Social Networking
Education
Washington University in St. Louis School of Law 2013 — 2016
Doctor of Law (J.D.) Candidate 2016
UC Berkeley
Bachelor of Arts (B.A.), Political Science
Richmond, The American International University in London, Rome Center 2012 — 2012
Senter Goldfarb & Rice, L.L.C. May 2015 - Present
18th Judicial District December 2014 - May 2015
Financial Industry Regulatory Authority (FINRA) August 2013 - December 2013
Catamaran June 2013 - August 2013
Civil Litigation Clinic January 2013 - May 2013
Skills
Research, Corporate Finance, Legal Writing, Commercial Litigation, Litigation, Microsoft Word, Microsoft Excel, Microsoft Office, Civil Litigation, Public Speaking, Corporate Law, Westlaw, Financial Analysis, PowerPoint, Due Diligence, Legal Research, Lexis, Social Media
Education
University of Denver - Sturm College of Law 2011 — 2014
J.D., Corporate and Commercial Law
University of Arizona 2007 — 2009
Bachelor of Science (BS), Finance and Entrepreneurship
Attorney at Law January 2010 - Present
Financial Industry Regulatory Authority (FINRA) January 1992 - Present
Van Osdol & Magruder, PC January 1985 - December 2009
Fitzgerald, Loughlin & LeVota January 1980 - December 1984
Skills
Litigation, Commercial Litigation, Civil Litigation, Courts, Legal Writing, mediation, Arbitration, Mediation, Alternative Dispute..., Trial Practice, Trials, Personal Injury, Dispute Resolution, Appeals, Legal Research, Securities Regulation, Corporate Law
Education
University of Missouri-Kansas City 1965 — 1968
Doctor of Law (JD)
University of Missouri-Kansas City 1965 — 1968
Doctor of Law (JD)
St. Benedicts College (now Benedictine College) 1960 — 1964
Bachelor of Arts (BA) (Cum Laude)
Financial Industry Regulatory Authority (FINRA) May 2008 - Present
Financial Industry Regulatory Authority (FINRA) April 2003 - May 2008
RDA Corporation October 1999 - April 2003
Skills
PMP, .NET, Software Project..., Software Development, Web Development, Technical Leadership, Project Management, SDLC, SOA, Agile Methodologies
Education
University of Maryland University College
Bachelor of Science, Information Systems Management
Financial Industry Regulatory Authority (FINRA) May 2014 - August 2014
Financial Industry Regulatory Authority (FINRA) May 2013 - August 2013
Education
University of Maryland College Park 2011 — 2015
Bachelor of Science (B.S.), Economics, 3.5
HedgeMark Advisors, LLC April 2015 - Present
Center for Art Law January 2015 - April 2015
Financial Industry Regulatory Authority (FINRA) October 2014 - December 2014
Christie's January 2014 - April 2014
Oppenheimer & Co. June 2013 - August 2013
Constellation Wealth Advisors, LLC January 2013 - April 2013
UM WW 2008 - 2010
Skills
Legal Writing, Corporate Governance, Social Media, Legal Research, Employment Law, Corporate Law, Securities Litigation, Westlaw, Dispute Resolution, Litigation, Securities, Arbitration
Education
Benjamin N. Cardozo School of Law
Doctor of Law (JD), Corporate Law, Financial Regulation, Art Law
University of California, Santa Barbara
Bachelor of Arts (B.A.), Humanities
University of Cambridge
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Brivo Systems January 2006 - February 2015
University of Maryland July 2003 - December 2005
Skills
Oracle RAC, CentOS, Networking, PHP, MySQL, iSCSI, Dell PowerEdge Servers, Linux System..., VMware ESX, Sound Board Operation, Cisco Technologies, SQL, IP Cameras, Access Control, Physical Security, SaaS, Security, Bash, Cloud Computing, CCTV, Network Administration, Integration, PostgreSQL
Education
University of Maryland College Park 2000 — 2005
Computer Engineering
Financial Industry Regulatory Authority (FINRA) January 2014 - Present
Blue Cherry Media Group February 2013 - January 2014
Media Training Worldwide June 2011 - February 2013
Speaking Channel TV June 2011 - February 2013
Macy's May 2007 - August 2007
Dick's Sporting Goods November 2006 - April 2007
Skills
Press Releases, Customer Service, Research, Social Media, Photoshop, Market Research, WordPress, Media Relations, Word, Excel, PowerPoint, Outlook, HTML, Customer Relations, Direct Sales, Talent Booking, SEO, QuickBooks, Adobe Creative Suite, Dreamweaver, InDesign
Education
University of Oregon 2007 — 2011
Bachelor's Degree, Economics
Moorpark High School 2003 — 2007
High School
Markit June 2010 - Present
Financial Industry Regulatory Authority - FINRA August 2007 - March 2011
NYSE February 2007 - August 2007
Citigroup 2005 - 2006
Citizens Bank January 2005 - July 2005
Royal Bank of Canada - RBTT Ltd. February 2002 - June 2004
Royal Bank of Canada - RBTT Ltd. January 1998 - January 2002
Royal Bank of Canada - RBTT Ltd. May 1995 - December 1998
Skills
Business Analysis, Agile Methodologies, Quality Assurance, Project Management, SDLC, Waterfall, Requirements Analysis, Visio, Risk Management, User Acceptance Testing, Process Improvement, Requirements Gathering, Software Project..., Business Process..., Agile Project Management, Business Process, IT Strategy, Data Warehousing, Vendor Management, Program Management, Product Management, Management, Enterprise Architecture
Education
Heriot-Watt University 2002 — 2004
MBA
University of the West Indies, St. Augustine Campus 1991 — 1994
B.Sc., Computer Studies with a minor in Management
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Financial Industry Regulatory Authority (FINRA) September 2013 - September 2014
MetLife September 2010 - April 2013
MetLife September 2009 - September 2010
MetLife November 2006 - August 2009
Skills
Regulatory Compliance, Regulatory Analysis, Securities Regulation, SEC Regulations, Financial Markets, Market Analysis, Broker-Dealer Compliance, Fraud Investigations, Securities Fraud, Financial Regulation, SEC Filings, Equity Trading, Finance, Financial Reporting, Account Reconciliation, Accounting, Microsoft Office, Financial Analysis, Auditing, Strategic Financial..., Internal Audit, PeopleSoft, Internal Controls, Investments, Microsoft Excel, Securities, Insurance, Microstrategy, Lotus Notes, BI Publisher, Adobe Acrobat, Powerplay, Frontier, Management, Business Analysis, Corporate Finance, Managerial Finance, Financial Statements, Fixed Annuities, Access, Financial Modeling, Enterprise Fund...
Education
University of South Florida 2006 — 2009
Bachelor of Science and Bachelor of Arts, Marketing and Management, Minor in Psychology
AARP Foundation October 2015 - Present
AARP November 2011 - October 2015
Financial Industry Regulatory Authority (FINRA) May 2003 - November 2011
National Association of Securities Dealers (NASD) July 1995 - May 2003
Skills
Financial Education, Educational Outreach, Corporate Communications, Stakeholder Engagement, Writing, Editing, Public Speaking, Public Relations, Educational Leadership, Coalitions, Non-profits, Strategic Communications, Media Relations, Nonprofits, Speech Writing, Policy Analysis, Public Policy, Community Outreach, Fundraising, Internal Communications, Community Development, Crisis Communications, Program Management
Education
University of Maryland College Park 1985 — 1987
Master of Arts, Journalism
University of Maryland College Park 1982 — 1984
Bachelor of Science, Journalism
Oakland Mills High School 1978 — 1981
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
Consultant, Fund Accounting and Operations October 2014 - Present
BNY Mellon October 2013 - September 2014
The California Endowment April 2008 - July 2012
Payden & Rygel October 1999 - March 2008
Zenith Insurance Company (United States) August 1991 - October 1999
Bossini Marketing (USA) Inc. November 1989 - July 1991
Financial Industry Regulatory Authority (FINRA) July 1987 - October 1989
Skills
Investment Accounting, Investment Operations, Portfolio Management, Investments, Accounting, Financial Reporting, Performance Measurement, Alternative Investments, SEC filings, Tax Reporting, Global Investment..., Investment Management, Fixed Income, Equities, Project Management, Asset Management, Hedge Funds, Bloomberg, Portia, Financial Analysis, Securities
Education
University of California, Santa Barbara 1982 — 1986
Bachelor of Arts (BA), Business Econmics and Spanish
Mound Cotton Wollan & Greengrass June 2009 - Present
Fordham Law School August 2008 - Present
New York County Lawyers Association 2006 - Present
Financial Industry Regulatory Authority (FINRA) 1997 - Present
Oxford University Press Rules of Professional Conduct 2009 - Present
Law Offices of Edward Garfinkel 1997 - 2009
New York Law School 2006 - 2008
Brooklyn District Attorney's Office 1989 - 1995
Skills
Litigation, Arbitration, Commercial Litigation, Civil Litigation, Mediation, Dispute, Securities Regulation, Insurance Law, Professional Liability, Legal Writing, Product Liability, Class Actions, securities arbitration, futures and commodities..., Securities, Professional...
Education
University of Pennsylvania Law School 1979 — 1982
JD, Law
University of Rochester 1976 — 1979
BA, History
Jefferies & Company August 2009 - Present
Crédit Agricole CIB July 2007 - December 2008
Financial Industry Regulatory Authority (FINRA) June 2004 - June 2007
UBS October 2002 - June 2004
Skills
Series 7, Series 24, FINRA, Securities, Equities, Capital Markets, Investment Banking
Education
University of Maryland - Robert H. Smith School of Business
BS in Finance and Management Information Systems, Finance and Financial Management Services
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
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Kiplinger Washington Editors May 2014 - August 2014
The Daily Tar Heel August 2013 - May 2014
Matt Godek Rugby & Soccer Supply May 2012 - August 2012
ESF SUMMER CAMPS June 2011 - August 2011
CrossLink International June 2010 - August 2010
Skills
Event Management, Event Planning, Writing, News Writing, Reporting, Financial Reporting, Spreadsheets, Economics, Economic Research, Economic Modeling, Microsoft Office, Social Media, PowerPoint, Microsoft Excel, Research, Leadership, Microsoft Word, Editing, Social Networking, Facebook, Customer Service, Teamwork, Journalism, Data Analysis, Analysis, Editorial, Fundraising, Gardening, Public Speaking, Volunteer Management
Education
University of North Carolina at Chapel Hill 2011 — 2015
Bachelor's Degree, Economics
Gonzaga College High School 2007 — 2011
High School, 4.3
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Morgan Stanley September 2013 - December 2014
Consumer Financial Protection Bureau June 2013 - September 2013
Maryland State Department of Assessments and Taxation May 2006 - June 2013
Jackson Hewitt Tax Services October 2005 - April 2006
Skills
Access, Excel, Word, PowerPoint, Outlook, Research, Statistics, Windows, Stata, Customer Relations, SAS, Modeling, Bonds, Mac OS, Linux, GIS, Data Analysis, Analysis, Visio, Financial Analysis, Business Analysis, VBA, Financial Modeling, Problem Solving, SQL, Customer Service, Microsoft Office, Office 2010, Bond Pricing, Municipal Bonds, Bond Markets, Stock Market, Convertible Bonds, inflation-indexed bond, Private Equity, Equity Research, Derivatives, Interest Rate..., Exchange Traded..., Commercial Real Estate, Real Estate Economics, Portfolio Management, Appraisals, Fixed Assets, Risk Assessment, Risk Management, Financial Engineering, Stock Picking, Equity Capital Markets, Hedging
Education
Robert H. Smith School of Business, University of Maryland, College 2010 — 2013
Master of Business Administration (M.B.A.), Finance
University of Maryland College Park 2001 — 2004
B.A., Economics
Vistage September 2014 - Present
Financial Industry Regulatory Authority (FINRA) June 2013 - Present
Joe Liss July 2012 - Present
Jefferson Parish Economic Development Commission (JEDCO) December 2010 - Present
Joe LISS, CPA October 2010 - Present
Bennett and Liss, CPAs October 1984 - September 2010
Skills
Public Speaking, Coaching, Small Business, Leadership Development, Executive Coaching, Leadership, Event Management, Income Tax, Workshop Facilitation, Strategy, Tax, Business Planning, Strategic Planning, Training, Personal Development, Online Marketing, Program Management, Marketing Strategy, Social Media Marketing, Social Media, Management, Team Building, Social Networking, Management Consulting, Entrepreneurship, Public Relations, Nonprofits, Start-ups, Consulting, Business Development, Time Management, Team Leadership, Negotiation, Staff Development, Change Management, Business Coaching, Presentation Coaching, Motivational Speaking, Executive Management, Executive Development, Conflict Resolution, Business Strategy, Teaching, Organizational..., Team Management, Marketing, Organizational..., Managerial Finance, Customer Service
Education
International Guide Academy 2013 — 2013
Certified International Tour Manager, Tourism and Travel Services Management
University of New Orleans 1975 — 1979
Financial Industry Regulatory Authority (FINRA) March 2015 - Present
CSC January 2014 - March 2015
J.Crew January 2014 - March 2015
University of Pittsburgh August 2012 - December 2013
Bentley Systems May 2013 - August 2013
Carnegie Mellon University May 2013 - August 2013
Skills
SQL, Data Analysis, Data Mining, Business Analysis, HTML, Event Planning, Research, Business Intelligence, Photoshop, C#, Microsoft Excel, Public Speaking, Customer Service, Teamwork, Databases, Programming, Visual Basic, Statistics, C, JavaScript, Social Media, PHP, Business Planning, Event Management, Java, R Language, Customer Insight, R, Google Analytics, Tableau
Education
University of Pittsburgh 2012 — 2013
Master's degree, Information Science/Studies
West Bengal University of Technology 2008 — 2012
Bachelor of Technology (B.Tech.), Information Technology
Modern High School for Girls 1994 — 2008
Deutsche Bank - Asset and Wealth Management January 2015 - Present
HSBC Securities Services - Corporate Trust & Loan Agency 2011 - 2013
HSBC Securities Services - Funds Services 2005 - 2011
Financial Industry Regulatory Authority - FINRA 1999 - 2005
Skills
Mutual Funds, Equities, Alternative Investments, Securities, Investment Banking, Fixed Income, FINRA, Fund Of Funds, Hedge Funds, Banking, Bloomberg, Investments, Trading, Capital Markets, Asset Management
Education
St. John's University
Master of Business Administration (M.B.A.), Finance
Baruch College
Bachelor of Business Administration (B.B.A.), Finance
FINRA, Inc. November 2013 - Present
Financial Industry Regulatory Authority (FINRA) October 2005 - November 2013
NASD/FINRA November 1999 - October 2005
Deltek June 1997 - November 1999
Crown Communications November 1993 - June 1997
United States Air Force June 1986 - January 1990
Skills
SDLC, FINRA, Risk Management, Financial Services, User Acceptance Testing, Quality Assurance, Process Improvement, Requirements Analysis, System Testing, Business Process, Business Analysis, Analysis, Business Process..., Requirements Gathering, PMO, Agile Methodologies, Enterprise Architecture, Integration, Program Management, Management
Education
University of Maryland University College
BS, Accounting
Holiday Systems International February 2015 - Present
Accenture August 2011 - Present
Financial Industry Regulatory Authority (FINRA) March 2011 - August 2011
JP Morgan Chase April 2008 - March 2011
JPMorgan Chase, CHICAGO April 2008 - March 2011
R-Square Inc. October 2004 - April 2008
JPMorgan Chase October 2004 - April 2008
Voicetech communications corp 2003 - 2004
Skills
SDLC, Microsoft SQL Server, SOA, SQL, .NET, WCF, Agile Methodologies, Web Services, XML, C#, ASP.NET
Education
University of Houston 2000 — 2003
Master of Science, Computer Science
Sindhi High School 1985 — 1992
High School
Financial Industry Regulatory Authority (FINRA) June 2014 - Present
RE/MAX February 2014 - June 2014
Financial Industry Regulatory Authority (FINRA) March 2008 - January 2014
PNC September 2007 - March 2008
Skills
Customer Service, Microsoft Office, Management, Strategic Planning, Financial Analysis, Risk Management, Microsoft Word, Business Analysis, Finance, Investments, Project Management
Education
University of Maryland College Park 2002 — 2006
Bachelor of Arts, Criminology and Criminal Justice
John Postl, P.C. May 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
New England Law Group, P.C. November 2013 - August 2015
Vermont Supreme Court January 2013 - May 2013
Vermont Law School August 2012 - May 2013
Vermont Law School February 2012 - May 2013
Vermont Law School August 2011 - May 2013
Rhode Island Attorney General's Office May 2012 - August 2012
Vermont Law School January 2012 - May 2012
United States District Court for the Southern District of Ohio June 2011 - August 2011
Skills
Criminal Law, Negotiation, Trial Advocacy, Local Government, Legal Research, Teaching, Politics, Research, Legal Writing, Environmental Law, Environmental Policy, Administrative Law, Public Policy, Mediation, Litigation, Environmental Issues, Legislative Relations, Nonprofits, Westlaw, Policy Analysis, Courts, Lexis, Corporate Law, Sustainability, Legislation, Environmental Awareness, Legal Issues, LexisNexis
Education
Vermont Law School 2010 — 2013
Juris Doctor, litigation and appellate advocacy
University of Pittsburgh 2005 — 2009
Bachelor of Philosophy, Political Science, History, and Geology and Planetary Science
Seekonk High School 2001 — 2005
Georgetown Day School December 2014 - May 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - April 2015
Lindamood-Bell Learning Processes June 2013 - September 2013
NATIONAL SOCIETY OF BLACK ENGINEERS (NSBE), UNIV. OF ROCHESTER CHAPTER October 2011 - September 2013
Skills
Matlab, Statistics, Microsoft Office, Microsoft Excel, PowerPoint, Tutoring, Teaching, Physics, Community Outreach, Public Speaking, SPSS, Higher Education, Qualitative Research
Education
University of Rochester 2010 — 2014
Bachelor’s Degree, Financial Econmics
Financial Industry Regulatory Authority (FINRA) March 2014 - Present
Government Contracting April 2012 - March 2014
5AM Solutions April 2008 - March 2012
Government Contracting January 2002 - March 2008
Skills
Software Engineering, Java, Software Development, Agile Methodologies, Java Enterprise Edition, Scrum, SOA, Hibernate, Spring, Enterprise Architecture, Integration, Testing, Maven, Web Services, Requirements Gathering, Ant, XML, UML
Education
University of Maryland College Park 1998 — 2001
BS, Computer Science
Financial Help Centers, Inc January 2008 - Present
Financial Industry Regulatory Authority - FINRA June 1991 - Present
Help Centers January 1991 - Present
Skills
Insurance, Retirement Planning, Fixed Annuities, Retirement, Estate Planning, Disability Insurance, Life Insurance, IRAs, Long-term Care, Small Business, FINRA, 401k, Health Insurance, Whole Life, Universal Life, Lead Generation, Mutual Funds, Term Life Insurance, Wealth Management, Financial Services, Sales, Employee Benefits, Risk Management, Brokers, Marketing, Financial Advisory, Investments, Series 6, Workers Compensation, Property & Casualty..., Finance, Medicare, Financial Planners, Financial Planning, Underwriting, Professional Liability, Personal Finance, Critical Illness, Wealth, Pensions, Long Term Care Insurance, Legal Liability, Series 7, Investment Advisory, Strategic Financial..., Securities, Commercial Insurance, Series 63, Liability
Education
LIU Brooklyn 1964 — 1969
BS, Financial / Law
LIU Brooklyn
Insignia Technology Services, LLC September 2015 - Present
GEICO June 2015 - September 2015
Financial Industry Regulatory Authority (FINRA) February 2015 - June 2015
ZyLAB March 2012 - February 2015
TurningPoint Global Solutions November 2010 - March 2012
NetStar-1 May 2008 - November 2010
Professional Medical Billing and Transcription Inc February 2008 - April 2008
WebSolve June 2006 - January 2008
Skills
Data Center, Linux, Process Improvement, Troubleshooting, Integration, Training, Enterprise Software, Quality Assurance, SDLC, Software Documentation, Public Speaking, IIS, Microsoft SQL Server, Databases, Oracle
Education
University of Maryland Baltimore County
Mechanical Engineering
Baltimore Polytechnic Institute
Engineering
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
Lagos State Arbitration Court Nigeria June 2015 - Present
Dallas Fort Worth Mediators February 2015 - Present
Education
University of Rockies 2013 — 2017
Ph.D in Conflict Analysis and Mediation, Conflcit Resolution and Mediation
University of Phoenix 2011 — 2013
Master's degree, Adminsrtation of Justice and Security Bridge
Universities Van Amsterdam 1998 — 2000
Masters in European International Trade Law, European International Trade Law
Edo State University Epkoma, Edo State Nigeria 1990 — 1996
Bachelor of Law, Law
Nigerian Law School
Bachelor of Laws (LL.B.), Law
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
J.P. Morgan January 2015 - Present
Prudential Financial 2013 - 2015
Morgan Stanley Smith Barney June 2006 - December 2013
Citicorp Investment Services (Citigroup) July 1997 - June 2006
Skills
FINRA, Financial Services, Securities, Financial Risk, Legal Research, Management, Corporate Law, KYC, Mutual Funds, Litigation, Alternative Investments, Risk Management, Compliance, Securities Regulation, Financial Markets, Capital Markets, Risk Assessment, Financial Advisory, Equities, Equity Trading, Policy, Operational Risk..., Wealth Management, Financial Regulation, Prime Brokerage, Fixed Income, Operational Risk, Private Equity, Private Banking, Bonds, Asset Allocation, Fiduciary Services, Fraud, Investment Advisory, Due Diligence, Investments, Investment Management, Options, Regulatory Submissions, Portfolio Management, Asset Management, Corporate Governance, Investment Banking, Structured Products, Wealth Management..., Anti Money Laundering
Education
New York School of Finance 1997 — 1998
Certificate of Completion, Securities
West Los Angeles School of Law 1985 — 1986
Paralegal Certification, Litigation Specialist
University of California, Riverside 1980 — 1984
B.S., Business Administration
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
Booz Allen Hamilton October 2014 - Present
Financial Industry Regulatory Authority (FINRA) June 2014 - October 2014
Excella Consulting October 2013 - April 2014
Booz Allen Hamilton June 2013 - July 2013
Skills
C, Embedded Systems, x86 Assembly, Linux, Reverse Engineering, Java, Python, Networking, Software Engineering, ASP.NET MVC
Education
University of Maryland College Park 2010 — 2014
Bachelor of Science, Computer Science
Newton North High School 2006 — 2010
Financial Industry Regulatory Authority (FINRA) May 2015 - Present
University of Maryland Baltimore County December 2014 - Present
Washington University in St. Louis Personality and Self-Knowledge Lab December 2013 - May 2014
Greenpeace May 2013 - August 2013
The Humane Society of the United States June 2012 - July 2012
White House Black Market May 2011 - August 2011
Skills
Organizational..., Program Evaluation, Group Dynamics, Job Analysis, Customer Service, Microsoft Office, Sales, Microsoft Excel, SPSS, Spanish, Mandarin, Taiwanese, Writing, PowerPoint, Research, Editing, Social Media, Human Resources, Organization, Microsoft Word, Photoshop, Communication, Team Leadership, Clinical Research
Education
University of Maryland Baltimore County 2014 — 2015
Master's Degree, Industrial and Organizational Psychology, 3.95
Washington University in St. Louis 2010 — 2014
Bachelor of Arts (B.A.), Psychology
Financial Industry Regulatory Authority (FINRA) December 2013 - Present
U.S. Sterling Securities June 2012 - Present
Dormitory Authority State of NY May 2011 - August 2011
Dormitory Authority of the State of May 2011 - August 2011
Eblen's Clothing and Footwear June 2010 - August 2010
University at Albany Foundation February 2009 - April 2009
Skills
Innovative Problem..., Data Analysis, Financial Analysis, Applied Mathematics, Calculus, Topology, Statistics, Microsoft Office, Fixed Income, Sales, Entrepreneurship
Education
State University of New York at Albany 2007 — 2012
Bachelor of Science, Mathematics and Financial Analysis Double Major, 3.73
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Best Buy July 2013 - January 2015
Jostens January 2013 - June 2013
Pearson VUE September 2012 - December 2012
UnitedHealth Group August 2010 - September 2012
Fastenal October 2007 - August 2010
Skills
Java, JavaScript, SQL, Unix, JSF, Spring, Agile Methodologies, Tomcat, JBoss Seam, HTML, jQuery, Maven, JUnit, Ant, Oracle, Hibernate, Software Development, Eclipse, Linux, Databases, JMS, REST, XML, XSLT, Subversion, Servlets, Git, Spring Framework, Web Services, SDLC, Microsoft SQL Server, Testing, Integration
Education
University of Minnesota-Twin Cities 2009 — 2011
M.S., Software Engineering
Winona State University 2006 — 2009
B.Sc., Computer Science
Financial Industry Regulatory Authority (FINRA) November 2013 - Present
U.S. Securities and Exchange Commission May 2012 - August 2012
U.S. Securities and Exchange Commission May 2011 - August 2011
U.S. Securities and Exchange Commission June 2010 - August 2010
Skills
Securities Regulation, Broker-Dealer, Financial Markets, Insider Trading, Stock Market, Options Regulation, Financial Services, Financial Analysis, Securities Litigation, Legal Research, Legal Writing, Corporate Law, Banking Regulation, Accounting, LexisNexis
Education
University of Virginia School of Law 2010 — 2013
Doctor of Law (J.D.)
University of Maryland College Park 2006 — 2010
Bachelor of Science (B.S.), Finance
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
United States District Court, Southern District of New York May 2015 - Present
Gemini Fund Services August 2013 - August 2014
Town of Babylon June 2007 - August 2014
New York State Assembly January 2012 - June 2012
Saratoga Town Court September 2011 - December 2011
Skills
Leadership, Social Media, Social Networking, Team Leadership, Microsoft Office, Politics, Political Campaigns, Government, Legislative Affairs, Courts, Financial Services, Legislative Relations, Public Speaking, Event Planning, Grassroots Organizing, Research, Public Relations, Security, PowerPoint, Spanish, Legal Research, Community Outreach, Legal Writing
Education
St. John's University School of Law 2014 — 2017
Doctor of Law (J.D.), Law
State University of New York at Albany 2009 — 2013
Bachelor of Arts (B.A.), Political Science and Criminal Justice
Financial Industry Regulatory Authority (FINRA) May 2015 - August 2015
EY January 2015 - May 2015
EY January 2014 - May 2014
Skills
Microsoft Word, PowerPoint, Microsoft Excel, Public Speaking, Microsoft Office, Time Management, Teamwork, Social Media
Education
State University of New York at Albany 2012 — 2016
Bachelor’s Degree, Accounting and Financial Market Regulation Minor Business Adminstration
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
FTI Consulting June 2014 - July 2015
Ernst & Young October 2009 - June 2014
Skills
GoSystems, Microsoft Office, Organizational..., Goal-driven leader, Outstanding time..., Cross-functional Team..., Lotus Notes, Big 4, PeopleSoft, US GAAP, Sarbanes-Oxley Act, Time Management, GAAP, Accounting, Financial Reporting, Tax Research, Financial Statements, Public Speaking, Auditing, Microsoft Excel, Tax, Internal Controls, Financial Analysis
Education
SUNY Albany 2005 — 2009
Bachelor of Science (B.S.), Accounting
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Accenture January 2010 - December 2014
Skills
Web Services, Java, Hibernate, Spring, HTML, SOA, DB2, Maven, XML, MVC Architecture, Spring Webflow, Spring Framework, Eclipse, SQL, CSS, JSTL, JUnit, Subversion, Hudson, Quartz, JMS, Servlets, Test Driven Development, Agile & Waterfall..., Scrum, Apache FOP, XSL-FO, Rapid Prototyping, JavaScript, AngularJS, Node.js, GruntJS, Yeoman, Bower, SASS, LESS
Education
University of Maryland Baltimore County 2005 — 2009
Bachelor of Science (BS), Management Information Systems, Web Development
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
Matt Rosenstein Photography May 2011 - Present
Financial Industry Regulatory Authority (FINRA) May 2015 - August 2015
JCC Summer Day Camps June 2013 - August 2013
Skills
Microsoft Office, Digital Photography, Microsoft Excel, Photoshop, Leadership, Interdisciplinary..., Microsoft Word, Photography, Data Analysis
Education
University of Michigan 2014 — 2018
Bachelor’s Degree, Environmental Science & Spanish, Sophomore
Fairfield Ludlowe High School 2010 — 2014
High School, General Studies, 9-12
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
Celerity August 2012 - January 2013
Best Buy July 2010 - July 2012
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Research, PowerPoint, Sales, Leadership, Training, Photoshop, English, C++, C#, Java, HTML, CSS, XML
Education
University of Baltimore 2010 — 2012
Bachelor's Degree, Simulation and Digital Entertainment
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
Citi February 2014 - January 2015
Janus Capital Group October 2013 - January 2014
SMB Capital May 2012 - May 2013
Skills
Equities, Investments, Derivatives, Trading, Portfolio Management, Financial Analysis, Securities, Analysis, Management
Education
University of Colorado at Boulder - Leeds School of Business 2009 — 2012
Bachelor of Business Administration (BBA) with an Emphasis in Finance, Finance, Economics
bromfield
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Eliassen Group July 2014 - February 2015
Education
University of Maryland College Park 2010 — 2013
Bachelor's Degree, Mathematics and Computer Science
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Thomson Reuters March 2012 - October 2014
Thomson Reuters 2006 - April 2012
GXS 2002 - 2005
TPN Register (Joint Venture with GE Info Services) 1999 - 2002
Primark 1991 - 1999
Skills
Professional Services, Solution Selling, Salesforce.com, Product Management, SaaS, Account Management, Business Analysis, Business Development, CRM, Cloud Computing, Enterprise Software, Project Management, Requirements Analysis, Integration, Cross-functional Team..., Business Intelligence, Vendor Management
Education
University of Maryland College Park
BA, French and Russian
BCC High School
Financial Industry Regulatory Authority (FINRA) August 2012 - September 2014
Merrill Lynch August 2007 - August 2012
Genesis Futures February 2005 - December 2006
KL Financial January 2002 - February 2005
Skills
Hedge Funds, Finance, Trading, Equities, Financial Analysis, Investments, Securities, Portfolio Management, Risk Management, Capital Markets, Regulatory Compliance, Compliance Management, Investment Management
Education
University of California, Los Angeles
BA
University of San Francisco - Masagung Graduate School of Management
MBA
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
iConstituent July 2013 - December 2014
Celerity April 2013 - July 2013
NavigationArts June 2010 - March 2013
Library Associates August 2008 - May 2010
Deep Tree Design May 2004 - September 2008
Macro International July 2007 - January 2008
IREX November 2001 - March 2004
IDEV 2000 - 2001
The Urban Institute July 1999 - June 2000
Skills
Information Architecture, Usability Testing, Web Strategy, User Experience, User-centered Design, Social Media, Axure, Wordpress, Web Design, Usability, User Research, iRise, InDesign, Adobe Creative Suite, Business Analysis, Brand Developement, Human Computer..., HTML, CSS, WordPress, Interaction Design, Wireframes, User Experience Design, Heuristic Evaluation, Wire Framing, Card Sorting, User Interface Design, Persona, Contextual Inquiry, Accessibility, Information Design, Web Applications, User Scenarios, Paper Prototyping, Experience Design, Rapid Prototyping, Requirements Gathering, Strategy, CMS, Content Management, Front-end, Site Maps, Usability Engineering, Drupal, Taxonomy, User Interface, Task Analysis, Mobile Design
Education
University of Maryland College Park
BA, English
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE January 2014 - December 2014
CBOE January 2013 - January 2014
CBOE June 2012 - January 2013
GGT Trading September 2007 - May 2012
Ranquist Development September 2006 - September 2007
Great Point Capital February 2004 - December 2005
Skills
Credit Derivatives, Capital Markets, Derivatives, Options, Trading, Proprietary Trading, Trading Systems, Hedging, Electronic Trading, Hedge Funds, Equities, Investments, Risk Management, Securities, Bloomberg, Financial Markets
Education
University of Illinois at Urbana-Champaign
Economics
Financial Industry Regulatory Authority (FINRA) November 2014 - Present
N.C. Secretary of State, Securities Division March 2014 - October 2014
Financial Industry Regulatory Authority (FINRA) May 2010 - August 2013
Danaher Corporation July 2008 - August 2009
Robert E. Ward & Associates, P.C. March 2007 - June 2008
Skills
Securities, FINRA, Compliance, Legal Research, Tax, Microsoft Office, Excel, PowerPoint, Corporate Law, Legal Writing, Corporate Governance, Financial Regulation, Corporate Tax, Westlaw, Estate Planning, Due Diligence, Broker-Dealer, Finance, Securities Regulation, Options, Financial Services
Education
University of Baltimore School of Law 2004 — 2006
LL.M., Taxation
University of Baltimore School of Law 2001 — 2004
J.D., Concentration in Business and Estate Planning
University of Delaware 1997 — 2001
B.A., Political Science
Sidley Austin LLP September 2015 - Present
Cardozo Securities Arbitration Clinic August 2015 - Present
Exiger May 2015 - August 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
U.S. Securities and Exchange Commission September 2014 - December 2014
United States District Court for the Southern District of New York May 2014 - August 2014
New York County District Attorney's Office September 2011 - August 2013
Skills
Legal Writing, Westlaw, Legal Research, Criminal Law, Pleadings, Trials, Federal Courts, Financial Statements, Financial Analysis, Microsoft Office, PowerPoint, LexisNexis, Microsoft Excel, Microsoft Word, Research, Public Speaking
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2013 — 2016
Doctor of Law (JD)
University of Arizona 2007 — 2011
Bachelor of Science (BS)
PwC July 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Financial Industry Regulatory Authority May 2013 - July 2013
Miami-Dade State Attorney's Office August 2012 - November 2012
JPMorgan Chase June 2007 - May 2011
Skills
Legal Writing, Legal Research, Microsoft Office, Research, Westlaw, Lexis, LexisNexis, Microsoft Excel, Public Speaking
Education
University of Miami School of Law 2011 — 2014
Juris Doctor (J.D.)
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE October 2013 - January 2015
Chicago Stock Exchange February 2005 - October 2013
Skills
Securities, Microsoft Excel, Microsoft Office, Options, Analysis, Equities, Capital Markets, Derivatives, Electronic Trading, Team Management, Trading, Trading Systems
Education
University of Illinois at Chicago 2000 — 2004
Bachelor of Arts (B.A.), Criminal Justice
Booz Allen Hamilton August 2009 - Present
FINRA November 2005 - August 2009
Financial Industry Regulatory Authority (FINRA) 2005 - 2009
FINRA May 2003 - October 2005
UBS PaineWebber 2002 - 2003
Ameriprise Financial Services, Inc. July 2001 - August 2002
Skills
Business Strategy, Financial Modeling, Valuation, Corporate Finance, Fixed Income, Capital Markets, Data Analysis, Economics, Financial Analysis, Financial Markets, Risk Management, Securities, Finance, Management, Management Consulting, Strategic Planning, Program Management, Strategy, Due Diligence, Private Equity, Bloomberg, Equities, Forecasting, Investments, Portfolio Management
Education
University of Maryland - Robert H. Smith School of Business 2008 — 2009
C.F.A., Chartered Financial Analyst Level 2 Candidate
University of Maryland - Robert H. Smith School of Business 2006 — 2009
MBA, Finance / Mgmt. Consulting
University of Maryland College Park 1997 — 2001
BS, Finance
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
SRA International March 2009 - Present
Enterprise Solutions, Inc. September 2002 - March 2009
Financial Industry Regulatory Authority-FINRA 2002 - December 2008
Inrange Technologies 2001 - 2002
IMCI Technologies 1997 - 2000
IMCI 1997 - 2000
Micros Systems 1992 - 1996
Skills
Testing, Quality Center, Requirements Analysis, Software Quality..., SDLC, User Acceptance Testing, Technical Writing, Quality Assurance, Software Development, Manual Testing, SharePoint, Test Automation, System Testing, Requirements Gathering, Integration, HP Quality Center, QTP
Education
George Mason University 1979 — 1981
Financial Industry Regulatory Authority - FINRA November 2009 - Present
New York Stock Exchange - NYSE February 2007 - November 2009
Barclays Capital November 2006 - January 2007
Skills
Project Management, Business Analysis, Business Process, Analysis, SDLC, Mergers, Program Management, Management, Leadership, Budgets, Risk Management, Financial Services, Process Improvement, Change Management, Requirements Analysis, Business Intelligence, Data Analysis, Gap Analysis, Subject Matter Experts, Test Scripts, User Acceptance Testing, Pilot Projects, Human Resources, Human Resource..., Training, Training Manuals, Fixed Income Back Office, Day Trading, Annuities, Life Insurance, Data Intake Platform, BIRT, Documentum, Trade Surveillance, Capital Flow management, Specialist Capital..., Business Process..., Capital Markets
Education
Fairleigh Dickinson University 2004 — 2006
Masters, in Business Administration
St. Francis PG College 2002 — 2003
PGDHRM, Human Resource Management
St.Francis Degree College for Women 1999 — 2003
B.COM Computer Professionals, Commerce; Computer Science and Marketing
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Financial Industry Regulatory Authority (FINRA) July 2014 - June 2015
Hudson Valley Federal Credit Union 2010 - 2012
Capstone Advisory Group 2008 - 2009
Education
Passed all CFA exams, charter pending work experience
Northeastern University 2012 — 2014
Bachelor of Science (BS), Finance and Accounting
State University of New York at Albany 2005 — 2008
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Jiranek & Company, P.A. August 2013 - March 2015
PNC June 2012 - August 2012
University of Maryland School of Law August 2011 - December 2011
Circuit Court for Baltimore City June 2011 - August 2011
District Court for Baltimore City June 2011 - July 2011
House Of Ruth Maryland November 2009 - August 2010
Skills
Microsoft Office, Public Speaking, Microsoft Excel
Education
University of Maryland Francis King Carey School of Law 2010 — 2013
Doctor of Law (JD), Law
University of Maryland College Park 2005 — 2009
2009, Government and Politics
Boys' Latin School of Maryland 1992 — 2005
Aldridge Connors, LLP June 2012 - Present
Casey Gilson P.C. & Shingler Lewis, LLC February 2010 - June 2012
Financial Industry Regulatory Authority (FINRA) May 2008 - August 2008
McCutchen Blanton Johnson & Barnette, LLP May 2007 - August 2007
Judge Strickland May 2007 - May 2007
GreenLaw (Formerly the Georgia Center for Law in the Public Interest) March 2006 - August 2006
Cox Communications, Inc. May 2005 - August 2005
Skills
Litigation, Civil Litigation, Trial Practice, Legal Writing, Commercial Litigation, Liability, Depositions, Trials, Appeals, ProLaw, Orion, Microsoft Office, Title Insurance, Title Curative..., Banking Transactions &..., Appellate & Trial..., Consumer Finance, Legal Research, Dispositive Motions, Mediation, Insurance Defense, Defensive Litigation, Premises Liability..., Securities Litigation, Litigation Management, Legal Project Management, Alternative Fee...
Education
University of South Carolina School of Law 2006 — 2009
J.D., Law
University of Georgia - Terry College of Business 2002 — 2006
B.B.A., Finance
Financial Industry Regulatory Authority (FINRA) June 2011 - Present
K&L Gates February 2011 - May 2011
Education
University of North Carolina at Chapel Hill 2006 — 2010
Bachelor of Arts (B.A.), Political Science and Government
University of North Carolina at Chapel Hill 2006 — 2010
Bachelor of Arts (B.A.), International Relations and Affairs
Financial Industry Regulatory Authority (FINRA) September 2005 - August 2006
LPL Financial March 2004 - September 2005
Commonwealth Financial Network October 2003 - March 2004
LPL Financial April 2002 - October 2003
Commonwealth Financial Group October 2001 - April 2002
Bank One June 1997 - July 2001
Skills
Training, Finance, Investments, Auditing, Securities
Education
University of Central Oklahoma 1989 — 1998
Bachelor’s Degree, Marketing
Financial Industry Regulatory Authority (FINRA) 2001 - Present
Telos September 1989 - June 2001
Telos Corporation April 1986 - August 1989
Telos Corporation April 1984 - March 1986
Skills
Employee Benefits, HRIS, Recruiting, Management, Benefits Administration, Payroll Taxes, Financial Services, Job Descriptions, Tax, Process Improvement, Employment Law, 401k, Program Management, Securities, SPHR, EEO, Accounting, Finance, FINRA, Microsoft Office, Risk Management, Business Analysis, Requirements Analysis
Education
University of California, Los Angeles 1974 — 1979
BA -Philosophy
Glendora High School 1970 — 1974
Financial Industry Regulatory Authority (FINRA) HR Program AdministratorFINRAMay 2006 - Present
FINRA (Financial Industry Regulatory Authority) 2006 - Present
Microsoft 2001 - 2003
Net2000 1998 - 1999
Sprint Spectrum APC 1996 - 1997
Skills
Management, Microsoft Office, Leadership, Customer Service, Program Management, Team Building, Human Resources, Vendor Management, Microsoft Word, SDLC
Education
University of Maryland University College 2006 — 2009
Masters, Human Resource Management
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
Financial Industry Regulatory Authority (FINRA) September 1988 - Present
Skills
Investments, FINRA, Financial Services, Analysis, Financial Analysis, Risk Management, Finance, Financial Modeling, Portfolio Management, Financial Risk
Education
University of Maryland College Park 1992 — 1997
Bachelor of Applied Science (B.A.Sc.), Business Administration and Management, Accounting emphasis
Huston Tillotson College 1973 — 1977
Bachelor of Arts (B.A.), Economics
Regent Education February 2015 - Present
Financial Industry Regulatory Authority (FINRA) November 2014 - February 2015
Consumer Financial Protection Bureau December 2013 - November 2014
TerpSys December 2012 - October 2013
Segue Technologies September 2008 - December 2012
National Institutes of Health July 2004 - August 2008
G&B Solutions, Inc. 2008 - 2008
Skills
Business Analysis, Systems Analysis, Information Technology, Process Improvement, Software Engineering, Computer Science, Information Management, Usability Testing, Project Management, ITIL Certified, Requirements Analysis, Programming, Full SDLC, Federal Government, PMO, CMMI, Information Architecture, Mobile Applications, Enterprise Software, Search Analysis, Technical Leadership, Human Computer..., Section 508, Software Documentation, Training, Air Force, Program Management, Scrum, Business Requirements, Agile Methodologies, Databases, Web Applications, ITIL, Requirements Gathering, Software Development, SDLC, Testing, Integration, Enterprise Architecture, Usability, System Administration, Visio, Asking Questions, NIH, Data Science, Statistical Data..., R, Python, Active Directory, Business Intelligence
Education
University of Maryland College Park 2009 — 2013
MIM, Information Management, 3.9
University of Maryland University College 2003 — 2005
BS, Computer Science
Financial Industry Regulatory Authority (FINRA) February 2007 - Present
TD Waterhouse 1998 - 2004
Skills
Financial Analysis, Financial Services, Legal Research, Microsoft Office, Risk Management, Securities, Series 63
Education
University at Buffalo 1992 — 1997
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Dowling & Partners April 2002 - March 2014
Fox-Pitt, Kelton July 2001 - April 2002
Conning & Company April 2001 - June 2001
Citizens Bank of CT July 1998 - April 2001
Skills
Equity Research, Valuation, Equities, Financial Modeling, Financial Analysis, Investments, Credit, Bloomberg, Hedge Funds, Capital Markets, Series 7, Securities, Trading, Value Investing, Long/Short Equity, Private Equity, Options, Fixed Income, Credit Analysis, Series 63, Commercial Banking, Alternative Investments, Regulatory Compliance, Hedging
Education
University of New Haven 1998 — 2000
MBA, Finance
University of Connecticut 1990 — 1995
BSc, Finance
Norwich Free Academy 1987 — 1990
Finra (formerly ) NASD September 1998 - Present
Financial Industry Regulatory Authority (FINRA) August 1998 - Present
Skills
Public Speaking, Analysis, Access, Risk Management, Derivatives, Banking, Public Policy, Management, Event Management, Legal Research, Capital Markets, Asset Management, Financial Regulation, Mutual Funds, Financial Analysis, Nonprofits, FINRA, Portfolio Management, Investments, Budgets, Securities, Fixed Income, Financial Services, Outlook, Policy Analysis
Education
University of Maryland Baltimore County 1987 — 1992
Bachelor's Degree, Major: Biology Minor: Psychology
Financial Industry Regulatory Authority -FINRA January 2014 - Present
Eternally Organized September 2006 - Present
BMO Harris Bank January 2013 - January 2014
BMO Harris Bank July 2011 - January 2013
Harris Bank May 2009 - July 2011
BMO Harris Bank August 2007 - May 2009
Easter Seals May 2007 - August 2007
Morgan Stanley March 2004 - May 2006
Fortune Brands September 1999 - February 2004
Accenture April 1990 - September 1999
Skills
Employee Relations, Time Management, Benefits Administration, Performance Management, Leadership Development, Employee Benefits, Personnel Management, Talent Management, Customer Service, Training, Workforce Planning, Organizational..., Coaching
Education
DePaul University
B.A.
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
News Corporation November 2007 - July 2013
Verizon December 1998 - June 2006
Skills
Public Relations, Strategic Communications, Social Media, Event Planning, Public Speaking, Nonprofits, Strategic Planning, Government, Editing, Fundraising, Event Management, Policy, Public Policy, Marketing, Community Outreach, Marketing Strategy, Policy Analysis, Social Media Marketing, Media Relations, Research, Project Management, Corporate Communications, Legislative Relations
Education
University of Maryland University College
Business Management
University of Maryland University College
Certificate, Human Resources Management/Organizational Development
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE June 2003 - December 2014
Chicago Board Options Exchange June 2002 - June 2003
US Securities and Exchange Commission 1990 - 1994
Skills
FINRA, Securities, Equities, Securities Regulation, Capital Markets, AML, Hedge Funds, Options, Financial Markets, Risk Management, Anti Money Laundering, Derivatives, Electronic Trading, Series 7, Trading, Trading Systems
Education
University of Michigan Law School 1985 — 1988
Doctor of Law (J.D.)
University of Notre Dame 1981 — 1985
Bachelor of Business Administration (B.B.A.), Finance
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
CBOE May 1998 - December 2014
JSS Investments . Rom-Bo Trading September 1996 - May 1998
McDonnell Inc. August 1990 - September 1996
Skills
Equities, Finance, Electronic Trading, Financial Markets, Financial Analysis, Trading, Capital Markets, Risk Management, Insurance
Education
University of Illinois at Chicago
SunTrust Robinson Humphrey February 2014 - Present
SunTrust February 2013 - January 2014
SunTrust Robinson Humphrey February 2005 - February 2013
SunTrust Robinson Humphrey October 2002 - February 2005
Financial Industry Regulatory Authority (FINRA) January 2001 - February 2002
Education
University of Florida 1987 — 1990
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
Morris, Sullivan & Lemkul LLP December 2012 - February 2014
US Bank 2010 - 2011
San Diego National Bank October 2007 - May 2010
Wells Fargo July 2005 - October 2007
Bank of America May 2003 - August 2004
Skills
Loans, Commercial Lending, Banking, Legal Writing, Legal Research, Commercial Banking, Real Estate, Mortgage Lending, Small Business Lending, Financial Analysis, Corporate Finance, Litigation, Civil Litigation, Class Actions, Corporate Law, Business Planning, Business Strategy, Corporate Tax, Mergers & Acquisitions, Due Diligence, Westlaw, Management, Leadership, Finance, Sales, Consumer Lending, Customer Service, Credit
Education
University of San Diego School of Law 2011 — 2013
Juris Doctor, Law -Concentration in Business and Corporate Law
Wells Fargo Regional Banking
Virginia Polytechnic Institute and State University 2001 — 2005
Bachelor of Science (B.S.), Finance, Insurance, and Business Law
Virginia Polytechnic Institute and State University - Pamplin College of Business 2001 — 2005
Bachelor of Science (B.S.), Finance, Insurance and Business Law
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 (FINRA) August 2014 - Present
Virginia State Corporation Commission January 2008 - September 2014
Duane, Hauck & Gnapp, P.C. November 2005 - August 2007
Skills
Legal Research, Securities Litigation, Broker-Dealer Compliance, Financial Services, Investment Advisor..., Federal Court Litigation, Insurance Agent and..., White Collar Criminal..., Securities Fraud, Litigation, Compliance
Education
University of Richmond School of Law 2003 — 2005
J.D., Law
University of Tennessee-Knoxville 1996 — 2002
B.A., History and Economics
Oak Ridge High School
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Accenture July 2010 - February 2015
Constellation Energy Group May 2008 - July 2010
Skills
PL/SQL, Databases, Data Warehousing, SQL, Database Design, Performance Tuning, Requirements Analysis, Testing, Self Driven, Requirements Gathering, Data Analysis, Architectures, Oracle, Java, Architecture, Software Development, Hadoop, Spark, Scala, Cassandra, SDLC, Unix, Python, ETL, Collaborative Problem..., Application Development, System Architecture, Project Management, Project Planning, Team Leadership, Parallel Computing, Visio, Hive, Amazon Web Services..., Management, Agile Methodologies, Cloud Computing, Software Project..., Solution Architecture, Data Modeling, Scrum, Large Scale System..., Linux, Shell Scripting, Machine Learning, R, XML
Education
University of Maryland College Park 2005 — 2008
Bachelor of Science, Accounting
University of Maryland College Park 2005 — 2008
Bachelor's Degree, Information Systems
Financial Industry Regulatory Authority (FINRA) August 2014 - Present
Financial Industry Regulatory Authority (FINRA) April 2007 - Present
Skills
Equities, Securities, Data Analysis, Capital Markets, Due Diligence, Valuation, Fixed Income, Financial Analysis, Analysis, FINRA, Hedge Funds, Risk Management, Corporate Actions, Trading, Financial Risk, Alternative Investments, Mutual Funds, Series 7, Derivatives, Financial Markets, Options, Equity Trading, Trading Systems, Investment Banking, Securities Regulation, Financial Services
Education
University of Phoenix
Bachelor of Science (BS), Business Administration and Management, General
ROCS Consulting December 2000 - Present
KPMG Consulting 1999 - 2000
Dover International (a.k.a. Bisys Regulatory Services) 1996 - 1999
The Investment Firm of Keogler, Morgan and Company 1995 - 1996
United States Securities and Exchange Commission 1990 - 1995
National Association of Securities Dealers (k.n.a. FINRA) 1985 - 1990
Financial Industry Regulatory Authority (FINRA) 1985 - 1990
Skills
Compliance, Securities, Investment Advisory, Capital Markets, Regulatory Reporting, FINRA, Mutual Funds, AML
Education
University of Georgia - Terry College of Business 1980 — 1983
BBA, Finance
Financial Industry Regulatory Authority (FINRA) April 2015 - Present
JHS Capital Advisors, LLC August 2010 - March 2015
Mezrah Consulting December 2009 - August 2010
GunnAllen Financial February 2004 - December 2009
Education
University of Tampa - John H. Sykes College of Business 2007 — 2008
Master of Science, Finance
University of South Florida 1998 — 2001
Bachelor of Science, Management Information Systems
Pivotal Software, Inc. July 2014 - Present
Financial Industry Regulatory Authority (FINRA) April 2013 - July 2014
Gemini Systems, An IBM Business Partner August 2010 - July 2014
Warner Chilcott July 2011 - September 2012
NYSE Euronext October 2010 - March 2011
Penn Law School, University of Pennsylvania September 2008 - June 2010
Bhabha Atomic Research Centre July 2007 - April 2008
MTNL, Mumbai December 2006 - February 2007
Skills
Big Data, Hadoop, Java, Data Mining, SQL, Analytics, MapReduce, Predictive Analytics, Java Enterprise Edition, Data Structures, Weka, R, Database Design, Data Warehousing, Enterprise Architecture, HBase, Unix, Business Intelligence, Hive, Amazon Web Services..., Cassandra, Consulting, Cloud Computing
Education
University of Pennsylvania 2008 — 2010
MS, Computer Networking
University of Mumbai 2004 — 2008
BE, Telecommunications
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE October 2013 - December 2014
CBOE July 2013 - September 2013
CBOE December 2011 - June 2013
CBOE December 2009 - December 2011
Waterton Residential June 2009 - November 2009
Trainor Glass Company May 2009 - June 2009
CBOE May 2008 - August 2008
Skills
Securities, Options, Equities, Derivatives, Capital Markets, Financial Markets, Securities Regulation, Trading, Risk Management, FINRA, Trading Systems
Education
Illinois Institute of Technology 2011 — 2015
Master of Science in Finance (MSF), Trading and Financial Markets
University of Iowa 2004 — 2008
B.A., Finance and Marketing
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 Regulatory Authority (FINRA) March 2015 - Present
Inovalon January 2014 - Present
Gannett May 2012 - December 2013
Thomson Reuters May 2011 - May 2012
American Institutes for Research March 2010 - May 2011
DC Metropolitan Police Department April 2009 - March 2010
WR Grace March 2007 - April 2009
Skills
.NET, Project Management, C#, ASP.NET, SDLC, Testing, XML, Agile Methodologies, Oracle, SQL, Web Services, JavaScript, Software Development, Requirements Analysis, Microsoft SQL Server
Education
University of South Carolina-Columbia
Sree Nidhi Institute of Science and Technology, ECE
Financial Industry Regulatory Authority - FINRA May 2008 - Present
Infotech Global February 2008 - December 2009
Infotech Global India Ltd 2005 - February 2008
Health Plan Systems 2001 - 2005
Skills
Agile Methodologies, Requirements Analysis, SDLC, Software Project..., Microsoft SQL Server, XML, Web Services, PL/SQL, WCF, SQL, Java Enterprise Edition, C#, Oracle, Solution Architecture
Education
Anna University
Bachelor of Engineering (B.E.), Mechanical Engineering
Subramanya Sastriyar Higher Sec School
Financial Industry Regulatory Authority (FINRA) November 2011 - Present
Robert Half Technology April 2009 - October 2011
MarketResearch.com December 2007 - February 2009
270net Technologies September 2006 - July 2007
Gene Logic February 2006 - September 2006
Education
University of Maryland University College 2004 — 2005
BS, Computer Information Technology
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
Bank of America August 2014 - Present
KPMG US October 2010 - August 2014
PricewaterhouseCoopers January 2010 - October 2010
Financial Industry Regulatory Authority (FINRA) May 2009 - January 2010
Skills
Enterprise Risk..., Risk Management, Financial Risk, Risk Assessment, Operational Risk..., Project Management, Data Analysis, Transition Management, Internal Controls, Internal Audit, Financial Audits, Financial Advisory, Commercial Banking
Education
University of Alabama in Huntsville 2004 — 2007
BSBA, Accounting
Financial Industry Regulatory Authority (FINRA) March 2013 - Present
Northtrop Grumman December 2010 - March 2013
Ingenium Corporation April 2001 - October 2010
Skills
Windows Server, Security, IT Management, Project Management, Integration, SharePoint, Active Directory, Project Planning, Business Intelligence, Microsoft Office, Systems Engineering, Business Process..., Requirements Analysis, Visio, Information Assurance, System Deployment, Hyper-V, Cyber-security, Security Analysis, Penetration Testing
Education
University of Maryland University College 2012 — 2014
Master of Science (M.S.), Cyber Security
University of Maryland University College 2007 — 2012
Bachelor's Degree, Information Technology
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
APCO Worldwide February 2010 - June 2015
Taylor Rafferty 2006 - 2010
Citigate Financial Intelligence 2000 - 2005
Skills
Investor Relations, Message Development, Reputation Management, Crisis Communications, Mergers & Acquisitions, Executive..., Corporate Communications, Strategic Communications, Internal Communications, Issues Management, Media Relations, Public Relations, Capital Markets, Strategy, Corporate Social..., Financial Markets, Speech Writing, Marketing Communications, Public Affairs
Education
University of Richmond - Robins School of Business 1993 — 1997
BS, International Business and Marketing
Financial Industry Regulatory Authority (FINRA) January 2014 - Present
JP Morgan April 2010 - August 2013
Education
University of Illinois at Urbana-Champaign 2002 — 2006
Finance
Domeyard LP June 2015 - Present
Financial Industry Regulatory Authority (FINRA) December 2013 - May 2015
Financial Industry Regulatory Authority (FINRA) August 2012 - December 2013
The University of British Columbia August 2010 - June 2012
Wayne State University June 2010 - July 2010
University of Michigan September 2004 - December 2009
Johns Hopkins University, Center for Talented Youth July 2009 - August 2009
UCLA October 2002 - June 2004
UCLA April 2003 - June 2003
Skills
Teaching, Matlab, C++, Python, Analysis, Number Theory, Cryptography, Problem Solving, Probability Theory, Analytical Abilities, Quantitative Analysis, Technical Writing, Mathematica, MySQL, iWeb, HTML + CSS, Perl, Unix, Stochastic Calculus, Diligent, Social Networking, Productivity Tools, iCal, Java, R, Research Project..., Instructional Technology, Maple, Attention To Detail, Highly Adaptable, Mathematics
Education
University of Michigan 2004 — 2010
Ph.D., Mathematics
University of California, Los Angeles 2000 — 2004
B.S., Mathematics, 3.809
University of California, Los Angeles 2000 — 2004
B.S., Computer Science and Engineering, 3.809
Lewis Brisbois Bisgaard & Smith LLP August 2015 - Present
University of Denver October 2013 - May 2015
University of Denver March 2013 - May 2015
Financial Industry Regulatory Authority (FINRA) January 2015 - April 2015
Independent Contractor September 2012 - April 2015
The Race To The Bottom Blog 2014 - 2015
The Race To The Bottom Blog 2014 - 2015
The Race To The Bottom Blog 2014 - 2015
U.S. Securities and Exchange Commission June 2014 - August 2014
2nd Judicial District, Colorado District Courts May 2013 - December 2013
Skills
Litigation Support, Legal Assistance, Document Review, Legal Documents, Class Actions, Environmental Law, Lexis, Document Drafting, PACER, Breach Of Contract, LexisNexis, Employment Law, Hearings, Motions, Trial Practice, Business Litigation
Education
University of Denver - Sturm College of Law 2012 — 2015
Doctor of Law (JD), Law
University of Charleston 2005 — 2008
B.A. & B.S., History, Political Science
Blackman High School 2001 — 2005
Financial Insights, Inc February 1989 - Present
Financial Industry Regulatory Authority - FINRA April 1996 - Present
Legg Mason June 1987 - February 1989
Philips Appel & Walden February 1980 - June 1987
Skills
Investments, Financial Planning, Wealth Management, Retirement Planning, Securities, Investment Advisory, Asset Management, Retirement, Portfolio Management, Estate Planning, Series 63, Management, Strategic Financial..., Financial Advisory, Series 7, Fixed Annuities, Insurance, Life Insurance, FINRA
Education
Lebanon Valley College 1971 — 1973
BS, Psychology/Business
Bucks County Community College 1969 — 1971
Associate B.S, Business
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
Financial Industry Regulatory Authority (FINRA) April 2015 - June 2015
Financial Industry Regulatory Authority (FINRA) December 2013 - April 2015
Financial Industry Regulatory Authority (FINRA) November 2012 - December 2013
Financial Industry Regulatory Authority (FINRA) July 2011 - November 2012
Financial Industry Regulatory Authority (FINRA) July 2010 - July 2011
Skills
Equities, Securities, Financial Modeling, FINRA, Financial Analysis, Microsoft Excel, Finance, Fixed Income, Investments, Microsoft Office, PowerPoint, Risk Management, Hedge Funds, Analysis, Financial Reporting, Financial Risk, Capital Markets, Bloomberg, Valuation, Accounting, Credit Risk, Market Risk, Market Access, Data Mining, Data Analysis, Product Development, New Business Development, Business Strategy, Liquidity Management, Liquidity Risk, Liquidity Analysis, Liquidity Solutions, Financial Services, Financial Audits, Financial Markets, Strategic Planning, Training & Development, Change Management, Regulatory Compliance, Auditing
Education
State University of New York at Albany 2006 — 2010
Bachelor of Science (B.S.), Financial Analysis, Minor- Economics, Summa Cum Laude
Financial Industry Regulatory Authority (FINRA) July 2014 - Present
Scottrade September 2010 - June 2014
Scottrade August 2009 - September 2010
Skills
Series 7, Series 63, Equities, Investments, Securities, Mutual Funds, Portfolio Management, Fixed Income, Options, Trading, Financial Modeling, Financial Markets
Education
SUNY at Buffalo 2006 — 2010
Bachelor of Business Administration (B.B.A.), Finance
Varonis August 2014 - Present
Financial Industry Regulatory Authority (FINRA) November 2013 - July 2014
IBM March 2013 - November 2013
HP at NII Holdings, Inc. August 2012 - March 2013
City of Greensboro September 2010 - August 2012
City of Greensboro September 2010 - July 2012
Mark Stocks P.L.S April 2008 - August 2008
Skills
Switches, Routers, Cisco Technologies, Operating Systems, Computer Hardware, XP, VPN, Technical Support, Project Management, Networking, Hardware, Management, Active Directory, Cisco Routers, Software Installation, Windows 7, Wireless, Data Center, Troubleshooting, Telecommunications, Network Security, System Deployment, Security, Windows, Microsoft Office, Help Desk Support, System Administration, WAN
Education
University of North Carolina at Greensboro 2009 — 2011
Bachelor of Science (B.S.), Information Systems and Operations Management
Millbrook High School 2003 — 2007
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
OPNET Technologies, Inc. August 2007 - January 2013
DSCI July 2005 - April 2007
Skills
JavaScript, Software Development, Python, Tomcat, Perl, Java, XML, MySQL, Subversion, Windows
Education
University of Maryland College Park 2001 — 2005
Bachelor Of Science, Computer Science
Securities Litigation and Consulting Group January 2015 - Present
Financial Industry Regulatory Authority (FINRA) September 2014 - November 2014
Access Funding January 2014 - July 2014
Earnings Trilogy June 2013 - March 2014
Maryland Department of Business and Economic Development September 2013 - November 2013
BYD America Corp June 2013 - August 2013
Federal Housing Finance Agency March 2013 - May 2013
Stryker January 2012 - April 2012
China Securities Co., Ltd. July 2011 - September 2011
Skills
Valuation, Financial Modeling, Financial Analysis, Corporate Finance, Data Analysis, Risk Management, Economics, Microsoft Excel, VBA, Portfolio Management, Strategic Financial..., Financial Statement..., Accounting, Bloomberg, SAP, PeopleSoft
Education
University of Maryland - Robert H. Smith School of Business 2012 — 2014
Master of Science (MS), Finance, General, 3.83
University of International Business and Economics 2008 — 2012
Bachelor's degree, Finance, General, 3.4
University of California, Berkeley 2010 — 2010
Marketing, Economics
Financial Industry Regulatory Authority (FINRA) January 2015 - Present
University of New Hampshire August 2014 - January 2015
Financial Industry Regulatory Authority May 2014 - August 2014
University of New Hampshire August 2013 - May 2014
IBM February 2013 - May 2013
Symbol Technologies August 2011 - August 2011
Symbol Technologies August 2010 - August 2010
Skills
Java, C, C++ Language, Matlab, Python, MySQL, PHP, JOGL, HTML, C++, Computer Science, Perl, Software Development, Programming, SQL, Linux, Microsoft Office, Team Leadership, JavaScript
Education
University of New Hampshire 2013 — 2015
Master's degree, Computer Science
University Visvesvaraya Collegeof Engineering 2009 — 2013
Bachelor's degree, Computer Engineering, 83.2%
Financial Industry Regulatory Authority (FINRA) July 2015 - Present
Great Lakes and Atlantic wealth management advisors March 2014 - Present
Robert E Graham Consulting Inc September 2013 - Present
UBS July 2012 - September 2013
UBS Wealth Management January 2009 - July 2012
UBS Wealth Management January 2009 - July 2012
Merrill Lynch June 1999 - January 2009
Merrill Lynch May 2006 - January 2007
Merrill Lynch January 1997 - April 1999
Merrill Lynch May 1991 - April 1997
Skills
Fixed Income, Securities, Wealth Management, Mutual Funds, Capital Markets, Asset Allocation, Series 7, Series 63, Management, Investments, Insurance, Asset Management, FINRA, Leadership, Investment Advisory, Equities, Investment Strategies, Alternative Investments, Retirement Planning, Wealth Management..., Investment Management, Risk Management, Financial Advisory, Retirement, Financial Markets, Estate Planning, Relationship Management, Financial Risk, Fixed Annuities, Financial Services, Options, Uniform Combined State..., Portfolio Management, Series 24, Hedge Funds, ETFs, Wealth, Bonds, Strategic Financial..., Private Banking, Finance, Strategy, Strategic Planning, Private Equity, Financial Analysis, Financial Modeling, Trading, Executive Management
Education
University of Pennsylvania - The Wharton School 1997 — 1999
securities institute association
Executive leadership at the Wharton school at the University of Pennsylvania 1997 — 1998
Executive Leadership development
Saint John's University 1972 — 1976
BS, Economics, Marketing
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
Better Sign Service June 2012 - July 2014
Fidelity Investments December 2011 - April 2012
Fidelity Investments March 2007 - December 2011
Skills
Mutual Funds, Portfolio Management, Series 63, Series 7, Microsoft Excel, Investments, Financial Analysis, Bloomberg, Retirement Planning, Retirement, Customer Relations, Financial Planning, Equities, Asset Management, Securities, Fixed Income, 401k, Risk Management, FINRA, Asset Allocation, Trading, Analysis, Excel, Business Analysis, Compliance, Hedge Funds, Process Improvement, Options, Microsoft Office, Banking, Derivatives, Vendor Management, Customer Service, Brokerage, Financial Reporting
Education
Xavier University 2009 — 2011
MBA, Finance
University of Louisville 2000 — 2004
BS, Political Science
University of Indianapolis 2002 — 2003
Study Abroad - Athens, Greece
Financial Industry Regulatory Authority (FINRA) 2014 - Present
Chicago Board Options Exchange 1996 - 2014
Chicago Board Options Exchange 1994 - 1996
Chicago Board Options Exchange 1989 - 1993
General Dynamics Corp. Ltd 1983 - 1989
Skills
Risk Management, Options, Securities, Equities, Derivatives, Securities Regulation, Capital Markets, Financial Markets, Legal Research, Series 7, Litigation, Electronic Trading, AML, Trading, Bloomberg, Financial Risk, FINRA
Education
University of Arizona
BS, Business and Public Administration
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
FINRA October 2011 - June 2015
National Institute of Standards and Technology June 2005 - October 2011
US Government, Department of Health & Human Services, HRSA June 2003 - February 2005
Skills
A+ Certified, Active Directory, Computer Hardware, Troubleshooting, Microsoft Office, System Administration, Operating Systems, Windows, Hardware, Windows Server 2003, Deployment, Testing, Administration, XP, Virtualization, Desktop Support, Problem Solving, Wise, SCCM, SMS, Application Packaging, Microsoft Certified..., Disaster Recovery, Analysis, Windows 7, VMware, Citrix, Project Management, Servers, IIS, SharePoint, Microsoft Exchange, Databases, Visio, Software Documentation, Software Installation, Product Development, Group Policy, BMC Remedy, Microsoft Technologies, Shell Scripting, VMware ESX, Server Administration, VBScript, Incident Management, Hyper-V, OS X, WSUS, Infrastructure, Information Technology
Education
University of Pittsburgh 1998 — 2003
B.A., Economics, Computer Science, Information Science
Financial Industry Regulatory Authority (FINRA) June 2014 - Present
Openet January 2013 - May 2014
Paychex August 2012 - December 2012
Openet February 2011 - July 2012
University of Arkansas at Little Rock October 2008 - December 2010
Skills
Hadoop, Big Data, Unix, Perl Script, NoSQL, Apache Pig, Oracle, HBase, Research, Java, SQL, PL/SQL, MySQL, XML, Core Java, Programming, MongoDB, Hive, MapReduce, AWS, Network Engineering, Apache Spark, BPMN, Scala
Education
University of Arkansas at Little Rock 2008 — 2010
Master’s Degree, Computer Science, 3.6
V R Siddhartha Engineering College 2004 — 2008
Bachelor of Technology (B.Tech.), Electrical, Electronics and Communications Engineering
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE June 2014 - December 2014
CBOE November 2011 - June 2014
UBS Investment Bank January 2000 - August 2011
Paine Webber February 1980 - January 2000
Skills
Options, Trading, Electronic Trading, Back Office, Derivatives, Trading Systems, Technical Analysis, Equities, Securities, Hedge Funds, Financial Markets, FINRA, Wealth Management, Fixed Income, Equity Trading, Series 7
Education
University of Illinois at Chicago 1975 — 1979
Bachelor of Arts, Psychology
Lane Technical High School 1971 — 1975
Financial Industry Regulatory Authority (FINRA) March 2013 - Present
Charles Schwab November 2011 - March 2013
Charles Schwab 2003 - 2011
Morgan Stanley January 2000 - January 2003
Education
University of Rhode Island 1985 — 1990
Economics
Financial Industry Regulatory Authority (FINRA) September 2014 - Present
Aquilent January 2014 - September 2014
General Dynamics Information Technology October 2013 - January 2014
University of Maryland, Mid-Atlantic Crossroads August 2005 - October 2013
OmniTI August 2003 - July 2005
Skills
Linux, OpenStack, Open Source Software, Network Monitoring Tools, Nagios, Chef, Unix Shell Scripting, Programming Languages, DNS
Education
University of Maryland - Robert H. Smith School of Business 2009 — 2011
Master of Business Administration (MBA)
University of Maryland College Park
Bachelor of Science (BS), Computer Science
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
FINRA April 2014 - Present
DiamondRock Financial June 2013 - April 2014
Monterey Oil Corp. October 2009 - April 2014
Arad Oil Inc. June 2009 - April 2014
Skills
Microsoft Office, Microsoft Excel, Data Analysis, Teamwork, Customer Service, PowerPoint, Financial Modeling, Project Management, Real Estate Financing, Analysis, Microsoft Excel Visual..., Variable Annuities, Equity Trading
Education
University of California, Los Angeles
Bachelor of Science, Economics
Financial Industry Regulatory Authority (FINRA) September 2015 - Present
Southwoods Recreation Inc. June 2015 - August 2015
University of Denver September 2012 - May 2015
University of Denver May 2012 - May 2015
Hillel of Colorado March 2012 - February 2015
Financial Industry Regulatory Authority (FINRA) September 2014 - December 2014
University of Denver May 2013 - May 2014
University of Denver September 2011 - June 2013
United Synagogue Youth October 2007 - May 2011
Skills
Public Relations, Social Media, Marketing, Advertising, Leadership, Sports, Storytelling, Newspapers, Government, Fundraising, Editing, Event Management, Research, Public Speaking, Nonprofits, Event Planning, PowerPoint
Education
University of Denver 2011 — 2015
Bachelor of Arts (B.A.), Economics
Financial Industry Regulatory Authority (FINRA) May 2014 - Present
Bank Of America August 2013 - May 2014
Fannie Mae 2006 - 2013
Chicago Sun-Times June 2006 - September 2006
Arch Insurance Group October 2005 - April 2006
Verizon October 2004 - October 2005
Tata Infomedia LTD July 1998 - August 2001
Education
Utah State University 2001 — 2004
Master of Science (MS), Business Information Systems
University of Pune 1996 — 1998
Master of Business Administration (M.B.A.)
Thermo Fisher Scientific May 2010 - Present
BNY Mellon 2006 - 2010
Financial Industry Regulatory Authority (FINRA) 2003 - 2006
Northern Trust Corporation 1998 - 2003
Education
University of Pittsburgh 2014 — 2016
Master of Science (M.S.), Information Science
University of Pittsburgh
Bachelor of Science (B.S.), Business
Financial Industry Regulatory Authority (FINRA) December 2014 - Present
CBOE June 2014 - December 2014
CBOE June 2012 - June 2014
The Noble Network of Charter Schools 2010 - 2012
Skills
AML, Investigation, Legal Writing, Securities, Legal Research, PowerPoint, Public Speaking, Microsoft Excel, Microsoft Office, Microsoft Word, Outlook, Research, Surveillance, Risk Management
Education
University of Illinois at Chicago 2001 — 2003
Bachelor's degree, Criminal Justice and Corrections
downers grove south
Financial Industry Regulatory Authority (FINRA) April 2014 - Present
Education
University of Maryland College Park 2007 — 2013
Financial Industry Regulatory Authority (FINRA) 2014 - Present
Financial Industry Regulatory Authority (FINRA) 2013 - 2014
Financial Industry Regulatory Authority (FINRA) 2011 - 2013
Financial Industry Regulatory Authority (FINRA) 2003 - 2011
Financial Industry Regulatory Authority (FINRA) 2002 - 2003
Financial Industry Regulatory Authority (FINRA) 2000 - 2002
Financial Industry Regulatory Authority (FINRA) 1999 - 2000
Financial Industry Regulatory Authority (FINRA) 1996 - 1999
Skills
FINRA, Securities Regulation, Fraud Investigations, Regulatory Compliance, Financial Analysis, Alternative Investments, Anti Money Laundering
Education
Passed Level I of the CFA Program
University of California, Irvine - The Paul Merage School of Business 1998 — 2000
Master of Business Administration (MBA)
University of California, Irvine 1991 — 1996
Master of Arts (M.A.), Social Sciences
University of Pennsylvania 1987 — 1991
Bachelor of Arts (B.A.), Political Science and Government
Financial Industry Regulatory Authority (FINRA) February 2003 - Present
Wells Fargo January 2000 - February 2003
Skills
Risk Management, Investments, Team Building, Financial Risk, Financial Services, Financial Analysis, Investigation, Analysis, Insurance, Microsoft Office, Management, Data Analysis, Finance, Legal Compliance, Regulatory Compliance, Anti Money Laundering, LexisNexis, ACFE, CRCP, Depositions, Interviewing Skills, Law Enforcement, Recommind
Education
University of Phoenix
Bachelor's Degree, Business and Finance
Earth Networks June 2015 - Present
Scripps Networks Interactive June 2013 - February 2015
Financial Industry Regulatory Authority (FINRA) February 2012 - May 2013
Verizon June 2007 - August 2010
Skills
Quality Assurance, Test Automation, Performance Testing, Programming, Software Engineering, Telecommunications..., Engineering
Education
University of Maryland College Park 2006 — 2011
Bachelor of Science (B.S.), Computer Science
Financial Industry Regulatory Authority (FINRA) January 2015 - May 2015
Education
University of Maryland College Park 2011 — 2014
Bachelor’s Degree, Mathematics