FINRA Company
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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FINRA Employees
Employee
Years
Job
Industry
Deon King Deon King's FINRA Experience May 2011 - November 2012
Job
Industry Financial Services
Experience
SunTrust July 2014 - October 2014
Freddie Mac June 2013 - January 2014
FINRA May 2011 - November 2012
Federal Deposit Insurance Corporation October 2007 - May 2011
International Paper April 2007 - October 2007
International Paper February 2006 - March 2007
International Paper February 2005 - February 2006
Skills
Management, Training, Banking, Budgets, Auditing, Finance, Policy, Internal Audit, Human Resources, Account Reconciliation, Marketing, Technical Support, Computer Hardware, Teamwork, Program Management, Microsoft Excel, Project Management, Network Security, Information Security..., Research, Financial Analysis, Portfolio Management, Microsoft Office, Strategic Planning, Customer Service, Outlook, Forecasting, Time Management, ERP, Visio, Process Improvement, Analysis, Business Analysis, Risk Management, Leadership, Team Building
Education
Webster University 2005 — 2009
MBA, Business Administration
The University of Memphis 1999 — 2004
BBA, Management Information Systems
SunTrust July 2014 - October 2014
Freddie Mac June 2013 - January 2014
FINRA May 2011 - November 2012
Federal Deposit Insurance Corporation October 2007 - May 2011
International Paper April 2007 - October 2007
International Paper February 2006 - March 2007
International Paper February 2005 - February 2006
Skills
Management, Training, Banking, Budgets, Auditing, Finance, Policy, Internal Audit, Human Resources, Account Reconciliation, Marketing, Technical Support, Computer Hardware, Teamwork, Program Management, Microsoft Excel, Project Management, Network Security, Information Security..., Research, Financial Analysis, Portfolio Management, Microsoft Office, Strategic Planning, Customer Service, Outlook, Forecasting, Time Management, ERP, Visio, Process Improvement, Analysis, Business Analysis, Risk Management, Leadership, Team Building
Education
Webster University 2005 — 2009
MBA, Business Administration
The University of Memphis 1999 — 2004
BBA, Management Information Systems
Kristyn Biscocho Kristyn Biscocho's FINRA Experience August 2010 - November 2013
Job Compliance Manager, Charles Schwab
Industry Financial Services
Experience
Charles Schwab February 2015 - Present
Charles Schwab November 2013 - January 2015
FINRA August 2010 - November 2013
Scottrade November 2009 - July 2010
United States Commodity Futures Trading Commission May 2008 - August 2008
Forsythe June 2006 - August 2006
Education
University of Illinois at Urbana-Champaign 2005 — 2009
B.A., Economics and Political Science
Charles Schwab February 2015 - Present
Charles Schwab November 2013 - January 2015
FINRA August 2010 - November 2013
Scottrade November 2009 - July 2010
United States Commodity Futures Trading Commission May 2008 - August 2008
Forsythe June 2006 - August 2006
Education
University of Illinois at Urbana-Champaign 2005 — 2009
B.A., Economics and Political Science
Gini Chukura Gini Chukura's FINRA Experience July 2008 - October 2011
Job Vice President, Senior Compliance Officer at MUFG in the Americas
Industry Financial Services
Experience
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
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
Andrew Nall, CFE Andrew Nall, CFE's FINRA Experience May 2007 - November 2009
Job Owner and Vice President, Business Development at Keyway Capital, LLC
Industry Financial Services
Experience
Keyway Capital, LLC 2013 - Present
Radiant Financial Partners, LLC 2010 - Present
Radiant Financial, Inc. 2009 - Present
FINRA May 2007 - November 2009
Skills
Securities, Compliance, Investments, Life Settlements, Securities Regulation, FINRA, Investment Advisory, Hedge Funds, Mutual Funds, Series 7, Financial Services, Asset Management, Fraud, Alternative Investments, Finance, Portfolio Management, Fixed Annuities, Private Equity
Education
The University of Texas at Dallas
Bachelor of Science, Finance
Keyway Capital, LLC 2013 - Present
Radiant Financial Partners, LLC 2010 - Present
Radiant Financial, Inc. 2009 - Present
FINRA May 2007 - November 2009
Skills
Securities, Compliance, Investments, Life Settlements, Securities Regulation, FINRA, Investment Advisory, Hedge Funds, Mutual Funds, Series 7, Financial Services, Asset Management, Fraud, Alternative Investments, Finance, Portfolio Management, Fixed Annuities, Private Equity
Education
The University of Texas at Dallas
Bachelor of Science, Finance
Shailesh Jhugroo Shailesh Jhugroo's FINRA Experience July 2010 - July 2011
Job Senior Technology Consultant at the U.S. Department of Justice
Industry Telecommunications
Experience
U.S. Department of Justice August 2011 - Present
FINRA July 2010 - July 2011
EMC September 2009 - July 2010
ISIS FUSION LTD September 2004 - March 2010
ISIS FUSION CORP May 2008 - September 2009
World Economic Forum September 2006 - April 2008
Intelsat April 1999 - July 2006
Mauritius Telecom 1997 - 1998
Skills
Product Management, Telecommunications, Project Management, IP, SaaS, Change Management, Network Design, Management, Product Development, Network Security, Project Planning, Virtualization, IPTV, WAN, Program Management, Networking, Business Process, Managed Services, ITIL, Network Architecture, Cisco Technologies, TCP/IP, Firewalls, Team Leadership, IT Operations, Infrastructure, Routing, Cloud Computing, Integration, VoIP, Network Engineering, Computer Security, Information Security, Security, Strategy
Education
The Johns Hopkins University - Carey Business School 2002 — 2005
MBA
University of Mauritius 1994 — 1998
Bachelors in Engineering
U.S. Department of Justice August 2011 - Present
FINRA July 2010 - July 2011
EMC September 2009 - July 2010
ISIS FUSION LTD September 2004 - March 2010
ISIS FUSION CORP May 2008 - September 2009
World Economic Forum September 2006 - April 2008
Intelsat April 1999 - July 2006
Mauritius Telecom 1997 - 1998
Skills
Product Management, Telecommunications, Project Management, IP, SaaS, Change Management, Network Design, Management, Product Development, Network Security, Project Planning, Virtualization, IPTV, WAN, Program Management, Networking, Business Process, Managed Services, ITIL, Network Architecture, Cisco Technologies, TCP/IP, Firewalls, Team Leadership, IT Operations, Infrastructure, Routing, Cloud Computing, Integration, VoIP, Network Engineering, Computer Security, Information Security, Security, Strategy
Education
The Johns Hopkins University - Carey Business School 2002 — 2005
MBA
University of Mauritius 1994 — 1998
Bachelors in Engineering
Don Winchester Don Winchester's FINRA Experience September 1986 - January 2001
Job FX / International Treasury Management Volcker Rule Compliance AVP
Industry Financial Services
Experience
Wells Fargo Bank, NA May 2014 - Present
Wells Fargo Advisors January 2001 - May 2014
FINRA September 1986 - January 2001
Education
University of Georgia - Terry College of Business 1980 — 1985
BBA, Risk Management
Wells Fargo Bank, NA May 2014 - Present
Wells Fargo Advisors January 2001 - May 2014
FINRA September 1986 - January 2001
Education
University of Georgia - Terry College of Business 1980 — 1985
BBA, Risk Management
Tanya Bowie-McClean Tanya Bowie-McClean's FINRA Experience July 2007 - Present
Job Administrative Professional
Industry Financial Services
Experience
FINRA July 2007 - Present
New York Stock Exchange (NYSE Regulation, Inc January 1999 - July 2007
NYSE Euronext 1999 - 2007
MVP Health Plan September 1997 - December 1998
Empire Blue Cross/Blue Shield May 1996 - May 1997
Skills
Administrative..., Customer Service, Microsoft Office, Lotus Notes, Office Management, Troubleshooting, Management, Research, Program Management, Marketing, Securities, Commercial Litigation, Wordperfect, FINRA, Legal Research
Education
Everest University Online 2009 — 2014
B.A., Paralegal Studies
The Sage Colleges-Sage College of Albany 1993 — 1996
A.A.S, Office Information Management
Kaplan University
FINRA July 2007 - Present
New York Stock Exchange (NYSE Regulation, Inc January 1999 - July 2007
NYSE Euronext 1999 - 2007
MVP Health Plan September 1997 - December 1998
Empire Blue Cross/Blue Shield May 1996 - May 1997
Skills
Administrative..., Customer Service, Microsoft Office, Lotus Notes, Office Management, Troubleshooting, Management, Research, Program Management, Marketing, Securities, Commercial Litigation, Wordperfect, FINRA, Legal Research
Education
Everest University Online 2009 — 2014
B.A., Paralegal Studies
The Sage Colleges-Sage College of Albany 1993 — 1996
A.A.S, Office Information Management
Kaplan University
Brian Orol Brian Orol's FINRA Experience 2002 - 2015
Job Strategic Wealth Management, Inc
Industry Investment Management
Experience
Strategic Wealth Management, Inc November 2002 - Present
FINRA 2002 - 2015
Jewish Federation of Wake County 2011 - 2014
Endorsements March 2013 - March 2013
lumpys ice cream January 2005 - June 2011
EWH 2006 - 2010
Strategic Financial Planning, Inc June 1998 - November 2002
Financial Network Investment Corporation January 1995 - June 1998
HKM A Burger King Franchisee 1981 - 1991
Skills
Policy, Mergers, Strategic Planning, Public Speaking, Contract Negotiation, Strategic Financial..., Mergers & Acquisitions, Program Management, Management
Education
College of Financial Planning 1990 — 1994
CFP, Certified Financial Planning
University at Albany, SUNY 1975 — 1979
BA, Economics
Strategic Wealth Management, Inc November 2002 - Present
FINRA 2002 - 2015
Jewish Federation of Wake County 2011 - 2014
Endorsements March 2013 - March 2013
lumpys ice cream January 2005 - June 2011
EWH 2006 - 2010
Strategic Financial Planning, Inc June 1998 - November 2002
Financial Network Investment Corporation January 1995 - June 1998
HKM A Burger King Franchisee 1981 - 1991
Skills
Policy, Mergers, Strategic Planning, Public Speaking, Contract Negotiation, Strategic Financial..., Mergers & Acquisitions, Program Management, Management
Education
College of Financial Planning 1990 — 1994
CFP, Certified Financial Planning
University at Albany, SUNY 1975 — 1979
BA, Economics
Shellise Josephs, MSF Shellise Josephs, MSF's FINRA Experience August 2008 - August 2011
Job Internal Audit Supervisor, Risk Management
Industry Financial Services
Experience
First Guaranty Mortgage Corporation® August 2015 - Present
Federal Housing Finance Agency April 2013 - 2015
Navigant July 2012 - April 2013
FINRA August 2008 - August 2011
Citizens Financial Group, Inc. August 2007 - December 2007
GEICO May 2007 - August 2007
JPMorgan Chase August 2005 - August 2006
Skills
Financial Analysis, Financial Modeling, Banking, Valuation, Finance, Analysis, Corporate Finance, Financial Services, Data Analysis, Strategic Financial..., Business Analysis, Management Consulting, Leadership, Investments, Risk Management, Mortgage Banking, Housing Finance, Regulatory Compliance, Management, Financial Risk, Capital Markets, Credit, Loans, Consulting, Mortgage Lending, Securities
Education
The Johns Hopkins University - Carey Business School 2010 — 2012
Master of Science (M.S.), Finance
University at Buffalo 2006 — 2008
Bachelor of Science (B.S.), Finance
First Guaranty Mortgage Corporation® August 2015 - Present
Federal Housing Finance Agency April 2013 - 2015
Navigant July 2012 - April 2013
FINRA August 2008 - August 2011
Citizens Financial Group, Inc. August 2007 - December 2007
GEICO May 2007 - August 2007
JPMorgan Chase August 2005 - August 2006
Skills
Financial Analysis, Financial Modeling, Banking, Valuation, Finance, Analysis, Corporate Finance, Financial Services, Data Analysis, Strategic Financial..., Business Analysis, Management Consulting, Leadership, Investments, Risk Management, Mortgage Banking, Housing Finance, Regulatory Compliance, Management, Financial Risk, Capital Markets, Credit, Loans, Consulting, Mortgage Lending, Securities
Education
The Johns Hopkins University - Carey Business School 2010 — 2012
Master of Science (M.S.), Finance
University at Buffalo 2006 — 2008
Bachelor of Science (B.S.), Finance
C. Uhlan Brock C. Uhlan Brock's FINRA Experience February 2009 - May 2009
Job Financial Analyst | Corporate Attorney
Industry Financial Services
Experience
Hudson Legal Law Counsel 2011 - Present
US Securities and Exchange Commission January 2010 - April 2010
Merrill Lynch August 2009 - December 2009
FINRA February 2009 - May 2009
U.S. Chamber of Commerce October 2005 - March 2008
U.S. House of Representatives, The Honorable "Ginny" Brown-Waite February 2004 - September 2005
Skills
Securities Regulation, Securities, Corporate Law, Corporate Finance, Legal Writing, Corporate Governance, Due Diligence, Legal Research, International Law, Policy, Private Equity, Financial Services, Government, Finance, Investments, Financial Modeling, Business Analysis, Capital Markets, International Relations, Analysis, Financial Analysis
Education
The Catholic University of America, Columbus School of Law 2006 — 2010
J.D., Securities and Corporate Law
The George Washington University, The Graduate School of Political Management (GSPM) 2003 — 2005
MA, Political Managment
Tulane University 1997 — 2001
BS, Political Science & Business
Hudson Legal Law Counsel 2011 - Present
US Securities and Exchange Commission January 2010 - April 2010
Merrill Lynch August 2009 - December 2009
FINRA February 2009 - May 2009
U.S. Chamber of Commerce October 2005 - March 2008
U.S. House of Representatives, The Honorable "Ginny" Brown-Waite February 2004 - September 2005
Skills
Securities Regulation, Securities, Corporate Law, Corporate Finance, Legal Writing, Corporate Governance, Due Diligence, Legal Research, International Law, Policy, Private Equity, Financial Services, Government, Finance, Investments, Financial Modeling, Business Analysis, Capital Markets, International Relations, Analysis, Financial Analysis
Education
The Catholic University of America, Columbus School of Law 2006 — 2010
J.D., Securities and Corporate Law
The George Washington University, The Graduate School of Political Management (GSPM) 2003 — 2005
MA, Political Managment
Tulane University 1997 — 2001
BS, Political Science & Business
Catherine Abrams Catherine Abrams's FINRA Experience Case AdministratorFinancial Industry Regulatory Authority
Job Legal/Entertainment/Writing
Industry Financial Services
Experience
FINRA Case AdministratorFinancial Industry Regulatory Authority
Education
University of Baltimore School of Law
Doctor of Law (JD)
University of Virginia
Bachelor of Arts (B.A.), Multi/Interdisciplinary Studies
FINRA Case AdministratorFinancial Industry Regulatory Authority
Education
University of Baltimore School of Law
Doctor of Law (JD)
University of Virginia
Bachelor of Arts (B.A.), Multi/Interdisciplinary Studies
Maggie P. Boys, CMP's FINRA Experience February 2000 - Present
Job Meeting Manager at FINRA
Industry Financial Services
Experience
FINRA February 2000 - Present
Riggs Bank 1993 - 2000
Union Station Washington, DC 1991 - 1992
Skills
Public Relations, Registration, Budgets, Strategic Planning, Meeting Planning, Event Management, Event Planning, Non-profits, Nonprofits, Program Management, Social Media Marketing, Marketing Communications, Government, Management, Media Relations, Strategic Communications, Fundraising, Microsoft Excel, Marketing, Outlook, Team Building, Training, Corporate Events, Public Speaking, Facebook, Sales
Education
Trinity University-Washington 1985 — 1989
BA, History
Ursuline Academy - Wilmington, DE
FINRA February 2000 - Present
Riggs Bank 1993 - 2000
Union Station Washington, DC 1991 - 1992
Skills
Public Relations, Registration, Budgets, Strategic Planning, Meeting Planning, Event Management, Event Planning, Non-profits, Nonprofits, Program Management, Social Media Marketing, Marketing Communications, Government, Management, Media Relations, Strategic Communications, Fundraising, Microsoft Excel, Marketing, Outlook, Team Building, Training, Corporate Events, Public Speaking, Facebook, Sales
Education
Trinity University-Washington 1985 — 1989
BA, History
Ursuline Academy - Wilmington, DE
Peter Schlossman's FINRA Experience August 2005 - July 2012
Job Associate General Counsel, Fannie Mae
Industry Law Practice
Experience
FINRA August 2005 - July 2012
U.S. Department of Justice, Office of Inspector General 2003 - 2005
U.S. Department of Justice, Civil Division 1998 - 2003
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Financial Regulation, Litigation Management, Litigation, Fraud, Internal Investigations, Sanction
Education
The George Washington University Law School
J.D.
Wesleyan University
B.A.
FINRA August 2005 - July 2012
U.S. Department of Justice, Office of Inspector General 2003 - 2005
U.S. Department of Justice, Civil Division 1998 - 2003
Skills
Securities Regulation, FINRA, Securities, Securities Litigation, Financial Regulation, Litigation Management, Litigation, Fraud, Internal Investigations, Sanction
Education
The George Washington University Law School
J.D.
Wesleyan University
B.A.
Bin Luo Bin Luo's FINRA Experience May 2008 - November 2008
Job Manager, Business Analytics at Adobe
Industry Information Technology and Services
Experience
Adobe November 2012 - Present
NYSE Euronext December 2010 - November 2012
NYSE Euronext December 2008 - December 2010
FINRA May 2008 - November 2008
ARIS Capital February 2008 - May 2008
Nortel July 2007 - February 2008
St. Francis Hospital January 2001 - January 2008
Datascope May 2007 - July 2007
NFL Network January 2007 - May 2007
IEEE December 2006 - January 2007
Skills
SDLC, Agile Methodologies, SQL, Requirements Analysis, Project Management, Business Analysis, Integration, Product Management, .NET, Analytics, Databases, Data Analysis, Java, Agile Project Management, User Interface Design, Information Architecture, Business Intelligence, Data Mining
Education
University of Pennsylvania 2005 — 2006
Master’s Degree
The Johns Hopkins University 2001 — 2005
Bachelor’s Degree
Adobe November 2012 - Present
NYSE Euronext December 2010 - November 2012
NYSE Euronext December 2008 - December 2010
FINRA May 2008 - November 2008
ARIS Capital February 2008 - May 2008
Nortel July 2007 - February 2008
St. Francis Hospital January 2001 - January 2008
Datascope May 2007 - July 2007
NFL Network January 2007 - May 2007
IEEE December 2006 - January 2007
Skills
SDLC, Agile Methodologies, SQL, Requirements Analysis, Project Management, Business Analysis, Integration, Product Management, .NET, Analytics, Databases, Data Analysis, Java, Agile Project Management, User Interface Design, Information Architecture, Business Intelligence, Data Mining
Education
University of Pennsylvania 2005 — 2006
Master’s Degree
The Johns Hopkins University 2001 — 2005
Bachelor’s Degree
Josh Silverman Josh Silverman's FINRA Experience 2008 - 2010
Job AML Operations
Industry International Affairs
Experience
Charles Schwab December 2014 - Present
HBUS January 2013 - December 2014
FINRA 2008 - 2010
Education
Tsinghua University 2010 — 2011
Mandarin Language Studies
University of Pennsylvania 2007 — 2008
MS, Criminology/Criminal Law
University of Miami 2001 — 2005
BS, International Relations
Charles Schwab December 2014 - Present
HBUS January 2013 - December 2014
FINRA 2008 - 2010
Education
Tsinghua University 2010 — 2011
Mandarin Language Studies
University of Pennsylvania 2007 — 2008
MS, Criminology/Criminal Law
University of Miami 2001 — 2005
BS, International Relations
Hal Applegate Hal Applegate's FINRA Experience 1985 - 2004
Job Financial Services Professional
Industry Financial Services
Experience
Financial Industry Technical Services, Inc. (FITS-Inc.) January 2014 - Present
Southwest Securities 2004 - 2013
FINRA 1985 - 2004
Skills
Securities, Auditing, FINRA, Series 7, Mutual Funds, Series 63, Uniform Combined State..., Investment Advisory, Options, Series 24, Equity Trading, Fixed Income, Equities, Series 65, Financial Services, Bonds, Risk Management
Education
Texas Tech University
Bachelor of Business Administration (BBA), Marketing
The University of Texas at Arlington
Master of Business Administration (MBA), Finance
Financial Industry Technical Services, Inc. (FITS-Inc.) January 2014 - Present
Southwest Securities 2004 - 2013
FINRA 1985 - 2004
Skills
Securities, Auditing, FINRA, Series 7, Mutual Funds, Series 63, Uniform Combined State..., Investment Advisory, Options, Series 24, Equity Trading, Fixed Income, Equities, Series 65, Financial Services, Bonds, Risk Management
Education
Texas Tech University
Bachelor of Business Administration (BBA), Marketing
The University of Texas at Arlington
Master of Business Administration (MBA), Finance
Joseph Rak Joseph Rak's FINRA Experience August 2004 - September 2005
Job Compliance Supervisor at PIMCO
Industry Financial Services
Experience
PIMCO January 2011 - Present
Allianz Global Investors December 2006 - December 2010
Smith Barney September 2005 - December 2006
FINRA August 2004 - September 2005
Tyco Fire & Building Products January 2004 - April 2004
NH Bureau of Securities Regulaion May 2002 - September 2003
Fidelity Investments June 1998 - January 2002
Skills
Legal Research, Mutual Funds, Management, Securities, Series 7, Series 24, FINRA, Marketing, Series 63
Education
UNH School of Law 2001 — 2004
JD, Law
The University of Texas at Arlington 1990 — 1998
BA, Political Science
PIMCO January 2011 - Present
Allianz Global Investors December 2006 - December 2010
Smith Barney September 2005 - December 2006
FINRA August 2004 - September 2005
Tyco Fire & Building Products January 2004 - April 2004
NH Bureau of Securities Regulaion May 2002 - September 2003
Fidelity Investments June 1998 - January 2002
Skills
Legal Research, Mutual Funds, Management, Securities, Series 7, Series 24, FINRA, Marketing, Series 63
Education
UNH School of Law 2001 — 2004
JD, Law
The University of Texas at Arlington 1990 — 1998
BA, Political Science
Sekou M Gordon Sekou M Gordon's FINRA Experience August 2009 - September 2009
Job Sr Deployment Engineer at Dell Services, Federal
Industry Information Technology and Services
Experience
Dell Services, Federal November 2011 - Present
TEKsystems August 2011 - November 2011
TerpSys January 2010 - August 2011
CompuCom September 2009 - December 2009
HP September 2009 - November 2009
FINRA August 2009 - September 2009
Booz Allen Hamilton May 2009 - June 2009
ASHBY PONDS (Erickson Communities) June 2008 - April 2009
ERICSON RETIREMENT COMMUNITIES May 2007 - May 2008
DIEBOLD ELECTION SYSTEMS September 2006 - November 2006
Skills
Active Directory, Network Administration, Troubleshooting, Servers, Microsoft Certified..., A+ Certified, System Administration, Security+, Windows 7, Laptops, Windows Server, Network+, Apple Certified, A+, ITIL v3 Foundations...
Education
University of Maryland Baltimore County 2000 — 2006
Bachelor of Arts, Business Technology Administration
Dell Services, Federal November 2011 - Present
TEKsystems August 2011 - November 2011
TerpSys January 2010 - August 2011
CompuCom September 2009 - December 2009
HP September 2009 - November 2009
FINRA August 2009 - September 2009
Booz Allen Hamilton May 2009 - June 2009
ASHBY PONDS (Erickson Communities) June 2008 - April 2009
ERICSON RETIREMENT COMMUNITIES May 2007 - May 2008
DIEBOLD ELECTION SYSTEMS September 2006 - November 2006
Skills
Active Directory, Network Administration, Troubleshooting, Servers, Microsoft Certified..., A+ Certified, System Administration, Security+, Windows 7, Laptops, Windows Server, Network+, Apple Certified, A+, ITIL v3 Foundations...
Education
University of Maryland Baltimore County 2000 — 2006
Bachelor of Arts, Business Technology Administration
Chris Mierzwa Chris Mierzwa's FINRA Experience June 2014 - August 2014
Job Accounting Intern at Ryan & Wetmore, PC
Industry Accounting
Experience
Ryan & Wetmore, PC June 2015 - Present
Univeristy of Maryland Athletic Department September 2013 - Present
FINRA June 2014 - August 2014
University of Maryland Athletic Department April 2012 - September 2013
Looney's Pub May 2011 - August 2011
Skills
Customer Service, Microsoft Excel, Supervisory Experience, Planning Budgeting &..., Corporate Finance, Teamwork, Communication, Leadership, Athletic Facilities, Intercollegiate..., Public Speaking, Research, PowerPoint, Event Planning, Social Media
Education
University of Maryland College Park 2011 — 2015
Accounting and Finance
Ryan & Wetmore, PC June 2015 - Present
Univeristy of Maryland Athletic Department September 2013 - Present
FINRA June 2014 - August 2014
University of Maryland Athletic Department April 2012 - September 2013
Looney's Pub May 2011 - August 2011
Skills
Customer Service, Microsoft Excel, Supervisory Experience, Planning Budgeting &..., Corporate Finance, Teamwork, Communication, Leadership, Athletic Facilities, Intercollegiate..., Public Speaking, Research, PowerPoint, Event Planning, Social Media
Education
University of Maryland College Park 2011 — 2015
Accounting and Finance
Stephen Nieberding's FINRA Experience March 1996 - November 1998
Job Senior System Analyst
Industry Food Production
Experience
Perdue Farms July 2005 - Present
University of Maryland University College September 2001 - Present
Stanley Associates June 2003 - June 2005
All Covered January 2003 - June 2003
Spirent Communications December 1998 - October 2002
Montgomery College April 1998 - August 2001
FINRA March 1996 - November 1998
NeuroSystems April 1995 - March 1996
IBM Federal Systems July 1988 - March 1995
Skills
AIX, Tivoli Monitoring, Linux, TSM, Red Hat Linux, RedHat, MS Project, NetApp, BMC Remedy, DS4000, Unix, Disaster Recovery, System Administration, IBM, POWER 7, POWER 6, POWER 5, VIO, HACMP, pSeries, Tivoli Storage Manager, TSM FastBack, HMC, IBM Storage, XIV, V7000, 8300, Brocade Fibre Switches, Enterprise Systems, ITM, IBM System Director, xSeries, IBM Servers, Tivoli Workload..., TWS, TEC, Power, EMC Symmetric, Storage Area Networks, Enterprise Storage, Tape Libraries, DNS, Cluster, Computer Security, SAN, Hardware, VPN, Troubleshooting, Switches, Storage
Education
The Johns Hopkins University 1994 — 1998
M.S., Technical Management
University of Maryland Baltimore County 1982 — 1988
B.S., Computer Science, Information System Management
Mount Saint Joseph High School 1979 — 1982
GED
Perdue Farms July 2005 - Present
University of Maryland University College September 2001 - Present
Stanley Associates June 2003 - June 2005
All Covered January 2003 - June 2003
Spirent Communications December 1998 - October 2002
Montgomery College April 1998 - August 2001
FINRA March 1996 - November 1998
NeuroSystems April 1995 - March 1996
IBM Federal Systems July 1988 - March 1995
Skills
AIX, Tivoli Monitoring, Linux, TSM, Red Hat Linux, RedHat, MS Project, NetApp, BMC Remedy, DS4000, Unix, Disaster Recovery, System Administration, IBM, POWER 7, POWER 6, POWER 5, VIO, HACMP, pSeries, Tivoli Storage Manager, TSM FastBack, HMC, IBM Storage, XIV, V7000, 8300, Brocade Fibre Switches, Enterprise Systems, ITM, IBM System Director, xSeries, IBM Servers, Tivoli Workload..., TWS, TEC, Power, EMC Symmetric, Storage Area Networks, Enterprise Storage, Tape Libraries, DNS, Cluster, Computer Security, SAN, Hardware, VPN, Troubleshooting, Switches, Storage
Education
The Johns Hopkins University 1994 — 1998
M.S., Technical Management
University of Maryland Baltimore County 1982 — 1988
B.S., Computer Science, Information System Management
Mount Saint Joseph High School 1979 — 1982
GED
Joe Mauceri, PMP, CSM, PMI-ACP, CSPO Joe Mauceri, PMP, CSM, PMI-ACP, CSPO's FINRA Experience March 2014 - October 2014
Job Project Manager at DRT Strategies
Industry Information Technology and Services
Experience
DRT Strategies October 2014 - Present
FINRA March 2014 - October 2014
Marriott International March 1999 - March 2014
Systems Engineering Services, Inc August 1992 - March 1999
Newbridge Communications November 1991 - August 1992
Mannington Resilient Floors September 1988 - November 1991
Skills
Property Management..., Project Management, Agile Project Management, Data Modeling, Team Leadership, PMP, Team Building, Vendor Management, Hospitality, Hospitality Industry, Enterprise Architecture, Business Analysis, Hotels, IT Strategy, Requirements Analysis, SharePoint, Integration, Agile Methodologies
Education
University of Maryland Baltimore County
Bachelor of Science (B.S.), Management Information Systems and Services
DRT Strategies October 2014 - Present
FINRA March 2014 - October 2014
Marriott International March 1999 - March 2014
Systems Engineering Services, Inc August 1992 - March 1999
Newbridge Communications November 1991 - August 1992
Mannington Resilient Floors September 1988 - November 1991
Skills
Property Management..., Project Management, Agile Project Management, Data Modeling, Team Leadership, PMP, Team Building, Vendor Management, Hospitality, Hospitality Industry, Enterprise Architecture, Business Analysis, Hotels, IT Strategy, Requirements Analysis, SharePoint, Integration, Agile Methodologies
Education
University of Maryland Baltimore County
Bachelor of Science (B.S.), Management Information Systems and Services
Daniel Mavico Daniel Mavico's FINRA Experience 2004 - 2007
Job Managing Counsel, Financial Services
Industry Financial Services
Experience
USAA 2013 - Present
USAA 2010 - 2013
Goodwin Procter LLP 2009 - 2010
Morrison & Foerster LLP 2007 - 2009
FINRA 2004 - 2007
US Securities and Exchange Commission 2003 - 2004
Skills
Securities, FINRA, Mutual Funds, Investment Advisory, Wealth Management, Securities Regulation, Securities Law, AML, Financial Services, Hedge Funds, Investment Management, Trading, Financial Advisory
Education
The Catholic University of America, Columbus School of Law 2001 — 2004
JD
Texas Tech University 1996 — 1999
Bachelor of Science, International Economics
USAA 2013 - Present
USAA 2010 - 2013
Goodwin Procter LLP 2009 - 2010
Morrison & Foerster LLP 2007 - 2009
FINRA 2004 - 2007
US Securities and Exchange Commission 2003 - 2004
Skills
Securities, FINRA, Mutual Funds, Investment Advisory, Wealth Management, Securities Regulation, Securities Law, AML, Financial Services, Hedge Funds, Investment Management, Trading, Financial Advisory
Education
The Catholic University of America, Columbus School of Law 2001 — 2004
JD
Texas Tech University 1996 — 1999
Bachelor of Science, International Economics
Catherine A. Agosta Catherine A. Agosta's FINRA Experience August 2010 - October 2012
Job Independent Military Family Solutions Provider
Industry Financial Services
Experience
US Army December 2000 - Present
FINRA August 2010 - October 2012
Skills
Photography, Financial Counselor, Professional Networking, Career Counseling, Military, Social Networking
Education
The Open University 1993 — 1996
Bachelor of Arts (B.A.), English Literature (British and Commonwealth), 2-2
Hatfield University 1990 — 1993
BSc, Computer Science, 2-2
US Army December 2000 - Present
FINRA August 2010 - October 2012
Skills
Photography, Financial Counselor, Professional Networking, Career Counseling, Military, Social Networking
Education
The Open University 1993 — 1996
Bachelor of Arts (B.A.), English Literature (British and Commonwealth), 2-2
Hatfield University 1990 — 1993
BSc, Computer Science, 2-2
Peter Magnaye Peter Magnaye's FINRA Experience August 2012 - Present
Job Technology Stuff Doer
Industry Financial Services
Experience
FINRA August 2012 - Present
The Global Impact Investing Network June 2012 - August 2012
Microfinance Information eXchange, Inc. October 2008 - July 2012
FINRA February 2008 - September 2008
Fannie Mae September 2006 - February 2008
Fannie Mae 2001 - 2006
BEA Systems 2000 - 2001
Bell Atlantic 1998 - 2000
Association of American Medical Colleges 1995 - 1998
Skills
IT Strategy, Strategy, Risk Management, Enterprise Architecture, Management, Business Analysis, SOA, Governance, SDLC, Strategic Planning, Leadership, Unix, Program Management, Data Warehousing, Requirements Analysis, Business Strategy, Integration, Project Management, PMP, Consulting, Agile Methodologies, Product Management, Linux, Analysis, Cloud Computing, Management Consulting, Start-ups
Education
The Johns Hopkins University 2003 — 2006
M.S., Information and Telecommunications Systems
La Salle Greenhills
La Salle Greenhills
FINRA August 2012 - Present
The Global Impact Investing Network June 2012 - August 2012
Microfinance Information eXchange, Inc. October 2008 - July 2012
FINRA February 2008 - September 2008
Fannie Mae September 2006 - February 2008
Fannie Mae 2001 - 2006
BEA Systems 2000 - 2001
Bell Atlantic 1998 - 2000
Association of American Medical Colleges 1995 - 1998
Skills
IT Strategy, Strategy, Risk Management, Enterprise Architecture, Management, Business Analysis, SOA, Governance, SDLC, Strategic Planning, Leadership, Unix, Program Management, Data Warehousing, Requirements Analysis, Business Strategy, Integration, Project Management, PMP, Consulting, Agile Methodologies, Product Management, Linux, Analysis, Cloud Computing, Management Consulting, Start-ups
Education
The Johns Hopkins University 2003 — 2006
M.S., Information and Telecommunications Systems
La Salle Greenhills
La Salle Greenhills
Terri Ziskind's FINRA Experience March 2011 - Present
Job at FINRA
Industry Marketing and Advertising
Experience
FINRA March 2011 - Present
Skills
Direct Mail, Print Production, Direct Marketing, Marketing Communications, Adobe Acrobat, InDesign, Adobe Creative Suite, QuarkXPress, Production, Digital Printing, Photoshop, Print Management, Customer Relations, Customer Service, Publishing, Account Management, Budgeting, Catalogs, Promotions, Print Production..., Word, Research, Brochures, Offset Printing, Excel, Problem Solving, Purchasing, Negotiation, Process Improvement, E-commerce, Fun, Teamwork, Corporate Communications, Budgets, Microsoft Word, Marketing Strategy, Online Marketing, Marketing, Fundraising, Social Networking, Social Media Marketing, Social Media, Advertising, Copywriting, Online Advertising, Newsletters, Integrated Marketing, Graphic Design, Trade Shows, Lead Generation
Education
The Johns Hopkins University 1990 — 1993
Masters, Administrative Science/Marketing
University of Maryland College Park 1984 — 1988
B.A., Journalism/Advertising
FINRA March 2011 - Present
Skills
Direct Mail, Print Production, Direct Marketing, Marketing Communications, Adobe Acrobat, InDesign, Adobe Creative Suite, QuarkXPress, Production, Digital Printing, Photoshop, Print Management, Customer Relations, Customer Service, Publishing, Account Management, Budgeting, Catalogs, Promotions, Print Production..., Word, Research, Brochures, Offset Printing, Excel, Problem Solving, Purchasing, Negotiation, Process Improvement, E-commerce, Fun, Teamwork, Corporate Communications, Budgets, Microsoft Word, Marketing Strategy, Online Marketing, Marketing, Fundraising, Social Networking, Social Media Marketing, Social Media, Advertising, Copywriting, Online Advertising, Newsletters, Integrated Marketing, Graphic Design, Trade Shows, Lead Generation
Education
The Johns Hopkins University 1990 — 1993
Masters, Administrative Science/Marketing
University of Maryland College Park 1984 — 1988
B.A., Journalism/Advertising
Kathleen Rennie's FINRA Experience March 2010 - June 2010
Job Manager, Global Talent Management at Allegis Global Solutions
Industry Human Resources
Experience
Allegis Global Solutions August 2014 - Present
McCormick & Company June 2014 - July 2014
McCormick & Company April 2011 - June 2014
Capitol Office Solutions October 2010 - April 2011
FINRA March 2010 - June 2010
Skills
Performance Management, Change Management, Organizational..., Leadership Development, Talent Management, Team Building, Onboarding, Strategic Planning, Employee Relations, Customer Service, Account Management, Employee Engagement, Vendor Management, Measurement Tools, Training, Program Management, Recruiting, Talent Acquisition
Education
Towson University
Bachelor of Science in Business Administration, International Business
South River Highschool
Allegis Global Solutions August 2014 - Present
McCormick & Company June 2014 - July 2014
McCormick & Company April 2011 - June 2014
Capitol Office Solutions October 2010 - April 2011
FINRA March 2010 - June 2010
Skills
Performance Management, Change Management, Organizational..., Leadership Development, Talent Management, Team Building, Onboarding, Strategic Planning, Employee Relations, Customer Service, Account Management, Employee Engagement, Vendor Management, Measurement Tools, Training, Program Management, Recruiting, Talent Acquisition
Education
Towson University
Bachelor of Science in Business Administration, International Business
South River Highschool
Sara Nelson Bloom Sara Nelson Bloom's FINRA Experience 2004 - 2014
Job Principal at Equity Mediation, LLC
Industry Alternative Dispute Resolution
Experience
Equity Mediation, LLC 2014 - Present
FINRA 2004 - 2014
NASDAQ OMX 1996 - 2004
The Resolution Trust Corporation (and FDIC as successor) 1992 - 1996
Kelley Drye & Warren LLP 1990 - 1991
Mankoff, Hill, Held & Goldberg 1988 - 1990
U.S. Securities and Exchange Commission 1984 - 1988
Skills
Arbitration, Adjudication, Securities Litigation, Mediation, Corporate Governance, Public Speaking, Securities, FINRA, Investments, Securities Regulation, Legal Writing, Legal Research, Legal Compliance, Equities, Litigation, Commercial Litigation
Education
University of California, Davis - School of Law 1980 — 1983
Doctor of Law (JD)
University of California, Santa Barbara 1976 — 1980
Bachelor's degree, Political Science
Equity Mediation, LLC 2014 - Present
FINRA 2004 - 2014
NASDAQ OMX 1996 - 2004
The Resolution Trust Corporation (and FDIC as successor) 1992 - 1996
Kelley Drye & Warren LLP 1990 - 1991
Mankoff, Hill, Held & Goldberg 1988 - 1990
U.S. Securities and Exchange Commission 1984 - 1988
Skills
Arbitration, Adjudication, Securities Litigation, Mediation, Corporate Governance, Public Speaking, Securities, FINRA, Investments, Securities Regulation, Legal Writing, Legal Research, Legal Compliance, Equities, Litigation, Commercial Litigation
Education
University of California, Davis - School of Law 1980 — 1983
Doctor of Law (JD)
University of California, Santa Barbara 1976 — 1980
Bachelor's degree, Political Science
Nick Roumonada's FINRA Experience September 2009 - July 2011
Job Business Development Manager at Hanger, Inc.
Industry Medical Devices
Experience
Hanger, Inc. January 2013 - Present
Challenged Athletes Foundation May 2010 - Present
Challenged Athletes Foundation July 2011 - August 2012
FINRA September 2009 - July 2011
Zanza BlueInternet January 2007 - January 2011
Royal Bank of Canada January 2009 - September 2009
Princess Cruises 2007 - 2009
Royal Caribbean International 2001 - September 2008
Moss Adams October 2006 - April 2007
gettuit.net January 1999 - January 2000
Skills
Event Management, Event Planning, Fundraising, Social Media, Public Speaking, Non-profits, Strategic Planning, Social Media Marketing, Customer Service, Public Relations, Marketing, International, Endurance, Motivational Speaking, Management, Team-oriented, Sales, Sales Management, Medical Devices, Sports, Nonprofits, Entrepreneurship, Business Development, Community Outreach, Time Management, CRM
Education
New School University 2008 — 2012
Bachelor of Science (BS), Marketing, Communications & Non-Profit Management
University of Washington 1997 — 2003
Music, Pre Med Sciences
Hanger, Inc. January 2013 - Present
Challenged Athletes Foundation May 2010 - Present
Challenged Athletes Foundation July 2011 - August 2012
FINRA September 2009 - July 2011
Zanza BlueInternet January 2007 - January 2011
Royal Bank of Canada January 2009 - September 2009
Princess Cruises 2007 - 2009
Royal Caribbean International 2001 - September 2008
Moss Adams October 2006 - April 2007
gettuit.net January 1999 - January 2000
Skills
Event Management, Event Planning, Fundraising, Social Media, Public Speaking, Non-profits, Strategic Planning, Social Media Marketing, Customer Service, Public Relations, Marketing, International, Endurance, Motivational Speaking, Management, Team-oriented, Sales, Sales Management, Medical Devices, Sports, Nonprofits, Entrepreneurship, Business Development, Community Outreach, Time Management, CRM
Education
New School University 2008 — 2012
Bachelor of Science (BS), Marketing, Communications & Non-Profit Management
University of Washington 1997 — 2003
Music, Pre Med Sciences
Marc H. Schtul Marc H. Schtul's FINRA Experience January 1993 - June 2014
Job
Industry Management Consulting
Experience
CliIntel, LLC June 2014 - Present
Rodef Shalom 2000 - 2015
Colorado Department of State November 2013 - June 2014
FINRA January 1993 - June 2014
Law Firm January 2008 - October 2013
Colorado Department of State October 2012 - March 2013
McDonald Automotive Group 2013 - 2013
Cherry Creek North BID April 1999 - June 2007
Sunward Corporation November 1997 - March 1999
Law Firms January 1992 - November 1997
Skills
Project/Risk Management, Dispute..., Negotiations, Contract Review, Contract Management, Employment Law, Financial Analysis, Management, Negotiation, Dispute, Policy Analysis, Legal Research, Litigation, Legal Writing, Civil Litigation, Commercial Litigation, Corporate Law, Mediation, Trials, Appeals, Arbitration, Policy, Courts, Corporate Governance, Contract Negotiation, Alternative Dispute..., Dispute Resolution, Litigation Support, Legal Issues, Licensing, Hearings, Depositions, Product Liability, Medical Malpractice, Leadership, Trade Secrets, Mergers & Acquisitions, Litigation Management, Bankruptcy, Administrative Law, Family Law, Strategic Planning, Strategy, Nonprofits, Budgets
Education
University of Denver - Sturm College of Law 1988 — 1991
Juris Doctor, Law
University of Denver - School of Accountancy 1980 — 1984
BS, Accounting, cum laude
Thomas Jefferson 1977 — 1980
CliIntel, LLC June 2014 - Present
Rodef Shalom 2000 - 2015
Colorado Department of State November 2013 - June 2014
FINRA January 1993 - June 2014
Law Firm January 2008 - October 2013
Colorado Department of State October 2012 - March 2013
McDonald Automotive Group 2013 - 2013
Cherry Creek North BID April 1999 - June 2007
Sunward Corporation November 1997 - March 1999
Law Firms January 1992 - November 1997
Skills
Project/Risk Management, Dispute..., Negotiations, Contract Review, Contract Management, Employment Law, Financial Analysis, Management, Negotiation, Dispute, Policy Analysis, Legal Research, Litigation, Legal Writing, Civil Litigation, Commercial Litigation, Corporate Law, Mediation, Trials, Appeals, Arbitration, Policy, Courts, Corporate Governance, Contract Negotiation, Alternative Dispute..., Dispute Resolution, Litigation Support, Legal Issues, Licensing, Hearings, Depositions, Product Liability, Medical Malpractice, Leadership, Trade Secrets, Mergers & Acquisitions, Litigation Management, Bankruptcy, Administrative Law, Family Law, Strategic Planning, Strategy, Nonprofits, Budgets
Education
University of Denver - Sturm College of Law 1988 — 1991
Juris Doctor, Law
University of Denver - School of Accountancy 1980 — 1984
BS, Accounting, cum laude
Thomas Jefferson 1977 — 1980
Jim Konneker's FINRA Experience April 2006 - July 2011
Job Senior Consultant NXTP Consulting
Industry Management Consulting
Experience
Fayetteville Symphony Orchestra July 2014 - Present
Cumberland Community Foundation July 2013 - Present
Doctor's Direct Healthcare, Inc November 2007 - January 2012
NXTP Consulting 2009 - 2012
FINRA April 2006 - July 2011
Goodyear 1987 - 2006
The Goodyear Tire and Rubber Company January 1987 - October 2005
The Goodyear Tire and Rubber Co 1987 - 2005
Skills
Budgets, Strategic Planning, Management, Supply Chain Management, Change Management, Six Sigma, Leadership Development, Microsoft Excel, Employee Relations, Microsoft Office, Human Resources, Lean Manufacturing, Process Improvement, Project Planning, Continuous Improvement, Organizational..., Operations Management, Customer Service, Program Management, Value Stream Mapping, Manufacturing, Performance Management, Management Consulting, Leadership, Team Building, Strategy, Business Process..., Training, Business Planning, Data Analysis, Mergers & Acquisitions, Analysis, Contract Negotiation, Policy, Business Strategy, Coaching, Cross-functional Team..., Government, Team Leadership, Project Management, Start-ups, Forecasting, Healthcare, Negotiation, Business Development, Business Analysis, Executive Coaching, Logistics, Financial Analysis, Entrepreneurship
Education
The University of Akron
BSIM
Fayetteville Symphony Orchestra July 2014 - Present
Cumberland Community Foundation July 2013 - Present
Doctor's Direct Healthcare, Inc November 2007 - January 2012
NXTP Consulting 2009 - 2012
FINRA April 2006 - July 2011
Goodyear 1987 - 2006
The Goodyear Tire and Rubber Company January 1987 - October 2005
The Goodyear Tire and Rubber Co 1987 - 2005
Skills
Budgets, Strategic Planning, Management, Supply Chain Management, Change Management, Six Sigma, Leadership Development, Microsoft Excel, Employee Relations, Microsoft Office, Human Resources, Lean Manufacturing, Process Improvement, Project Planning, Continuous Improvement, Organizational..., Operations Management, Customer Service, Program Management, Value Stream Mapping, Manufacturing, Performance Management, Management Consulting, Leadership, Team Building, Strategy, Business Process..., Training, Business Planning, Data Analysis, Mergers & Acquisitions, Analysis, Contract Negotiation, Policy, Business Strategy, Coaching, Cross-functional Team..., Government, Team Leadership, Project Management, Start-ups, Forecasting, Healthcare, Negotiation, Business Development, Business Analysis, Executive Coaching, Logistics, Financial Analysis, Entrepreneurship
Education
The University of Akron
BSIM
Alex Gelb Alex Gelb's FINRA Experience 2003 - 2005
Job Director of CFS at Northwestern Mutual
Industry Financial Services
Experience
Northwestern Mutual January 2012 - Present
1st Global March 2005 - December 2011
FINRA 2003 - 2005
UBS Wealth Managment / Park Cities Financial 2002 - 2003
Skills
Financial Modeling, Compliance, Investment Advisory, Investment Properties, Sales Management, Wealth Management, Mutual Funds, Series 7, Asset Allocation, Insurance, Investment Management, Investments, Retirement Planning, Financial Analysis, Portfolio Management, Finance, Strategic Financial..., Estate Planning
Education
University of North Texas 1997 — 1999
MBA, Finance
The University of Texas at Austin 1982 — 1988
BA, Economics
Northwestern Mutual January 2012 - Present
1st Global March 2005 - December 2011
FINRA 2003 - 2005
UBS Wealth Managment / Park Cities Financial 2002 - 2003
Skills
Financial Modeling, Compliance, Investment Advisory, Investment Properties, Sales Management, Wealth Management, Mutual Funds, Series 7, Asset Allocation, Insurance, Investment Management, Investments, Retirement Planning, Financial Analysis, Portfolio Management, Finance, Strategic Financial..., Estate Planning
Education
University of North Texas 1997 — 1999
MBA, Finance
The University of Texas at Austin 1982 — 1988
BA, Economics
Sravan Kumar Natakala's FINRA Experience January 2011 - October 2012
Job VP Application Development at JPMorgan Chase & Co.
Industry Computer Software
Experience
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
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
Aaron Fernandes Aaron Fernandes's FINRA Experience 2012 - 2012
Job Acquisitions at Centaur Properties LLC
Industry Real Estate
Experience
Centaur Properties LLC July 2015 - Present
Omega Investments June 2013 - July 2015
Washington University in St. Louis School of Law September 2010 - May 2013
Realogy Holdings Corp. June 2012 - August 2012
FINRA 2012 - 2012
Superior Court of New Jersey May 2011 - August 2011
Citi June 2008 - October 2009
Skills
Legal Research, Legal Writing, Westlaw, Mergers & Acquisitions, Litigation, Commercial Real Estate, Real Estate Transactions, Commercial Real Estate..., Real Estate, Acquisitions, Deal Sourcing
Education
Washington University in St. Louis School of Law 2010 — 2013
JD
The Johns Hopkins University 2004 — 2008
B.A., International Relations, Economics, Business
Centaur Properties LLC July 2015 - Present
Omega Investments June 2013 - July 2015
Washington University in St. Louis School of Law September 2010 - May 2013
Realogy Holdings Corp. June 2012 - August 2012
FINRA 2012 - 2012
Superior Court of New Jersey May 2011 - August 2011
Citi June 2008 - October 2009
Skills
Legal Research, Legal Writing, Westlaw, Mergers & Acquisitions, Litigation, Commercial Real Estate, Real Estate Transactions, Commercial Real Estate..., Real Estate, Acquisitions, Deal Sourcing
Education
Washington University in St. Louis School of Law 2010 — 2013
JD
The Johns Hopkins University 2004 — 2008
B.A., International Relations, Economics, Business
David Utevsky's FINRA Experience March 2000 - January 2014
Job Volunteer Jazz Program Host at KBCSFM / Retired Lawyer
Industry Broadcast Media
Experience
- February 2014 - Present
KBCS-FM 1992 - Present
FINRA March 2000 - January 2014
Foster Pepper & Shefelman October 1978 - February 2000
Skills
Jazz Radio Programming
Education
University of California, Berkeley - School of Law 1974 — 1977
J.D., Law
University of Washington 1971 — 1972
B.A., Communications
The University of Chicago 1968 — 1970
None, College
Roosevelt High School 1965 — 1968
H.S., H.S.
- February 2014 - Present
KBCS-FM 1992 - Present
FINRA March 2000 - January 2014
Foster Pepper & Shefelman October 1978 - February 2000
Skills
Jazz Radio Programming
Education
University of California, Berkeley - School of Law 1974 — 1977
J.D., Law
University of Washington 1971 — 1972
B.A., Communications
The University of Chicago 1968 — 1970
None, College
Roosevelt High School 1965 — 1968
H.S., H.S.
Corey Tomasek Corey Tomasek's FINRA Experience April 2011 - July 2013
Job Field Supervision Director at Edward Jones
Industry Financial Services
Experience
Edward Jones July 2013 - Present
FINRA April 2011 - July 2013
TD Ameritrade January 2010 - April 2011
AXA Advisors May 2009 - August 2009
Education
Truman State University 2005 — 2009
Business Administration, Finance
Edward Jones July 2013 - Present
FINRA April 2011 - July 2013
TD Ameritrade January 2010 - April 2011
AXA Advisors May 2009 - August 2009
Education
Truman State University 2005 — 2009
Business Administration, Finance
David Kosc David Kosc's FINRA Experience October 2005 - January 2008
Job Compliance Manager Calvert Funds
Industry Capital Markets
Experience
Calvert Investments January 2008 - August 2015
FINRA October 2005 - January 2008
FINRA April 2004 - October 2005
NASD January 2001 - April 2004
Skills
Fixed Income, Securities, Compliance, FINRA, Mutual Funds, Risk Assessment, Microsoft Office, Bloomberg, Excel, Risk Management, Equities, Series 24, Analysis, Trading, SEC, Investments, Financial Services
Education
University of Maryland College Park 1998 — 2000
Bachelor of Science, Finance
Calvert Investments January 2008 - August 2015
FINRA October 2005 - January 2008
FINRA April 2004 - October 2005
NASD January 2001 - April 2004
Skills
Fixed Income, Securities, Compliance, FINRA, Mutual Funds, Risk Assessment, Microsoft Office, Bloomberg, Excel, Risk Management, Equities, Series 24, Analysis, Trading, SEC, Investments, Financial Services
Education
University of Maryland College Park 1998 — 2000
Bachelor of Science, Finance
Brian Forster Brian Forster's FINRA Experience May 2011 - December 2013
Job Financial Services Professional
Industry Financial Services
Experience
Aerotek February 2014 - Present
FINRA May 2011 - December 2013
Bioquell Inc (USA) May 2009 - May 2011
Education
Towson University 2004 — 2008
Bachelor of Science (B.S.), Law and American Civilization
Aerotek February 2014 - Present
FINRA May 2011 - December 2013
Bioquell Inc (USA) May 2009 - May 2011
Education
Towson University 2004 — 2008
Bachelor of Science (B.S.), Law and American Civilization
Alex Shagas, MBA, CFE, CAMS Alex Shagas, MBA, CFE, CAMS's FINRA Experience June 2006 - September 2012
Job AML Compliance Advisor Manager, Capital One Investing & Capital One Securities
Industry Financial Services
Experience
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
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
Jessica Berger Jessica Berger's FINRA Experience September 2010 - Present
Job Associate Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA September 2010 - Present
ixmation Inc. June 2009 - September 2010
McGladrey & Pullen September 2006 - March 2009
USG Corporation June 2004 - August 2006
HSBC August 2002 - May 2004
Household International June 2000 - January 2002
Skills
Financial Reporting, Accounting, Financial Analysis, Auditing, Financial Accounting, Internal Controls, Forecasting, SEC filings, Account Reconciliation, CPA, Equities, Financial Audits, Internal Audit, General Ledger, Finance, Financial Services, Tax, Sarbanes-Oxley Act, Hedge Funds, GAAP, Corporate Finance
Education
University of Iowa - Henry B. Tippie College of Business 1998 — 2002
BBA, Accounting
Buffalo Grove High School 1994 — 1998
FINRA September 2010 - Present
ixmation Inc. June 2009 - September 2010
McGladrey & Pullen September 2006 - March 2009
USG Corporation June 2004 - August 2006
HSBC August 2002 - May 2004
Household International June 2000 - January 2002
Skills
Financial Reporting, Accounting, Financial Analysis, Auditing, Financial Accounting, Internal Controls, Forecasting, SEC filings, Account Reconciliation, CPA, Equities, Financial Audits, Internal Audit, General Ledger, Finance, Financial Services, Tax, Sarbanes-Oxley Act, Hedge Funds, GAAP, Corporate Finance
Education
University of Iowa - Henry B. Tippie College of Business 1998 — 2002
BBA, Accounting
Buffalo Grove High School 1994 — 1998
Eric Layne Eric Layne's FINRA Experience June 2006 - April 2008
Job Director RDA Development Center
Industry Computer Software
Experience
RDA July 1995 - Present
Microsoft November 2008 - January 2010
FINRA June 2006 - April 2008
Microsoft March 2005 - February 2006
College Board January 2005 - March 2005
T. Rowe Price June 2004 - December 2004
McCracken Financial Software 2003 - 2004
Nasdaq 2000 - 2001
Financial Industry Regulatory Authority 1998 - 2000
Sallie Mae 1997 - 1998
Skills
C#, ASP.NET, ASP.NET MVC, PMP, JavaScript, jQuery, HTML, CSS, SQL, Business Analysis, Web Development, Microsoft SQL Server, HTML 5, OOAD, .NET, Mobile Applications, SharePoint, Windows Azure, Data Warehousing, Software Project..., Software Development, Visual Studio, SOA, Web Applications, Enterprise Architecture, Visual Basic, Java, Agile Methodologies, AngularJS
Education
The Ohio State University 1986 — 1990
BSEE, Electrical Engineering
RDA July 1995 - Present
Microsoft November 2008 - January 2010
FINRA June 2006 - April 2008
Microsoft March 2005 - February 2006
College Board January 2005 - March 2005
T. Rowe Price June 2004 - December 2004
McCracken Financial Software 2003 - 2004
Nasdaq 2000 - 2001
Financial Industry Regulatory Authority 1998 - 2000
Sallie Mae 1997 - 1998
Skills
C#, ASP.NET, ASP.NET MVC, PMP, JavaScript, jQuery, HTML, CSS, SQL, Business Analysis, Web Development, Microsoft SQL Server, HTML 5, OOAD, .NET, Mobile Applications, SharePoint, Windows Azure, Data Warehousing, Software Project..., Software Development, Visual Studio, SOA, Web Applications, Enterprise Architecture, Visual Basic, Java, Agile Methodologies, AngularJS
Education
The Ohio State University 1986 — 1990
BSEE, Electrical Engineering
Brian Stallings, CDFM Brian Stallings, CDFM's FINRA Experience November 2005 - August 2009
Job Associate, Booz Allen Hamilton
Industry Management Consulting
Experience
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
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
Kristy L. Croushore Kristy L. Croushore's FINRA Experience August 2009 - August 2011
Job Director, Government Relations at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority August 2011 - Present
FINRA August 2009 - August 2011
FINRA August 2005 - August 2009
FINRA July 2003 - August 2005
Ernst & Young July 2001 - July 2003
Ernst & Young July 1999 - July 2001
Skills
Financial Services, Strategy, Financial Analysis, Program Management, Corporate Communications, Internal Communications, Change Management, Project Management, Strategic Planning, Process Improvement, Business Analysis, Business Strategy, FINRA, Strategic Communications, Finance, Management, Risk Management
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2005
MBA
The George Washington University - School of Business
BA, Finance, International Business
Financial Industry Regulatory Authority August 2011 - Present
FINRA August 2009 - August 2011
FINRA August 2005 - August 2009
FINRA July 2003 - August 2005
Ernst & Young July 2001 - July 2003
Ernst & Young July 1999 - July 2001
Skills
Financial Services, Strategy, Financial Analysis, Program Management, Corporate Communications, Internal Communications, Change Management, Project Management, Strategic Planning, Process Improvement, Business Analysis, Business Strategy, FINRA, Strategic Communications, Finance, Management, Risk Management
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2005
MBA
The George Washington University - School of Business
BA, Finance, International Business
Arlene Wilson Arlene Wilson's FINRA Experience 2000 - 2013
Job Consultant at Capital Forensics, Inc
Industry Financial Services
Experience
Capital Forensics, Inc February 2015 - Present
Compliance Professional September 2013 - Present
D.A. Davidson & Co. October 2012 - September 2013
FINRA 2000 - 2013
D.A. Davidson & Co. June 1998 - September 2012
OppenheimerFunds 1997 - 1998
RAF Financial Corp 1986 - 1996
NASD September 1983 - August 1986
Skills
FINRA, Securities, Series 7, Capital Markets, Securities Regulation, Series 24, Finance, Due Diligence, Mutual Funds, AML, Equities, Hedge Funds, Investment Advisory, Financial Services, Financial Analysis, Series 63, Risk Management
Education
The University of Montana - School of Business Administration 1979 — 1981
BS, Accounting
Capital Forensics, Inc February 2015 - Present
Compliance Professional September 2013 - Present
D.A. Davidson & Co. October 2012 - September 2013
FINRA 2000 - 2013
D.A. Davidson & Co. June 1998 - September 2012
OppenheimerFunds 1997 - 1998
RAF Financial Corp 1986 - 1996
NASD September 1983 - August 1986
Skills
FINRA, Securities, Series 7, Capital Markets, Securities Regulation, Series 24, Finance, Due Diligence, Mutual Funds, AML, Equities, Hedge Funds, Investment Advisory, Financial Services, Financial Analysis, Series 63, Risk Management
Education
The University of Montana - School of Business Administration 1979 — 1981
BS, Accounting
Justin Levis Justin Levis's FINRA Experience March 2014 - Present
Job Regulatory Analyst at FINRA
Industry Financial Services
Experience
FINRA March 2014 - Present
ISS Institutional Shareholder Services January 2012 - March 2014
E. Diane Champé Institute March 2010 - February 2012
MyLocalFace Inc. July 2011 - December 2011
Council of Institutional Investors August 2004 - July 2011
Education
The George Washington University - School of Business 2007 — 2010
MBA
University of Maryland College Park 2001 — 2004
Bachelor of Science, Business Logistics
FINRA March 2014 - Present
ISS Institutional Shareholder Services January 2012 - March 2014
E. Diane Champé Institute March 2010 - February 2012
MyLocalFace Inc. July 2011 - December 2011
Council of Institutional Investors August 2004 - July 2011
Education
The George Washington University - School of Business 2007 — 2010
MBA
University of Maryland College Park 2001 — 2004
Bachelor of Science, Business Logistics
Glenn Stephens Glenn Stephens's FINRA Experience September 2013 - Present
Job
Industry Government Administration
Experience
Federal Employees Defenders August 2015 - Present
Federal Sharing Neutrals February 2013 - Present
PLRB January 2014 - Present
Bureau Of Mediation, PA Dept. of L&I November 2013 - Present
FINRA September 2013 - Present
Northern Virginia Mediation Service April 2012 - Present
Office of the Assistant Secretary for Civil Rights, USDA October 2013 - May 2015
Penn State University December 2008 - June 2013
NLRB June 2002 - November 2008
Skills
Coaching, Legal Research, Litigation, Westlaw, Commercial Litigation, Public Speaking, Community Outreach, Research, Teaching, Social Media, Industrial Relations, Mediation, Employment Law, Storytelling, Appeals, Alternative Dispute..., Policy, Administrative Law
Education
University of California Berkekey School of Law (Boalt Hall) 1997 — 2001
Doctor of Law (J.D.), Law
University of California, Los Angeles 1983 — 1992
Ph.D., Political Science
Millersville University of Pennsylvania
Federal Employees Defenders August 2015 - Present
Federal Sharing Neutrals February 2013 - Present
PLRB January 2014 - Present
Bureau Of Mediation, PA Dept. of L&I November 2013 - Present
FINRA September 2013 - Present
Northern Virginia Mediation Service April 2012 - Present
Office of the Assistant Secretary for Civil Rights, USDA October 2013 - May 2015
Penn State University December 2008 - June 2013
NLRB June 2002 - November 2008
Skills
Coaching, Legal Research, Litigation, Westlaw, Commercial Litigation, Public Speaking, Community Outreach, Research, Teaching, Social Media, Industrial Relations, Mediation, Employment Law, Storytelling, Appeals, Alternative Dispute..., Policy, Administrative Law
Education
University of California Berkekey School of Law (Boalt Hall) 1997 — 2001
Doctor of Law (J.D.), Law
University of California, Los Angeles 1983 — 1992
Ph.D., Political Science
Millersville University of Pennsylvania
Hanna Tetens's FINRA Experience November 2005 - December 2007
Job Learning Management Systems, Training Development, Implementation
Industry Education Management
Experience
Kaplan University November 2009 - December 2011
FINRA November 2005 - December 2007
Marriott International 1998 - 2004
Multimedia Learning, Inc. September 1993 - November 1998
Skills
Process Improvement, Educational Technology, Instructional Design, Vendor Management, PowerPoint, Program Management, Multimedia, Training, Training Delivery, E-learning, Communication, Virtual Teams, Development & delivery..., Agile, Problem Solving, Documentation, Word, Microsoft Office, Excel, Employee Training, Management, Project Management, E-Learning, Software Documentation, Agile Methodologies, Quality Assurance, Microsoft Excel, Microsoft Word, Leadership
Education
The University of Texas at Arlington
BA
Kaplan University November 2009 - December 2011
FINRA November 2005 - December 2007
Marriott International 1998 - 2004
Multimedia Learning, Inc. September 1993 - November 1998
Skills
Process Improvement, Educational Technology, Instructional Design, Vendor Management, PowerPoint, Program Management, Multimedia, Training, Training Delivery, E-learning, Communication, Virtual Teams, Development & delivery..., Agile, Problem Solving, Documentation, Word, Microsoft Office, Excel, Employee Training, Management, Project Management, E-Learning, Software Documentation, Agile Methodologies, Quality Assurance, Microsoft Excel, Microsoft Word, Leadership
Education
The University of Texas at Arlington
BA
Craig Hilts Craig Hilts's FINRA Experience May 2006 - August 2006
Job Associate at Linklaters LLP
Industry Law Practice
Experience
Linklaters LLP March 2013 - Present
Sullivan & Cromwell LLP September 2008 - February 2013
Goldman Sachs January 2011 - April 2011
Sullivan & Cromwell LLP May 2007 - April 2008
FINRA May 2006 - August 2006
Wachovia July 2003 - July 2005
Skills
Securities Regulation, Capital Markets, Securities, Corporate Law, Corporate Governance, IPO
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
Juris Doctor (J.D.)
Wake Forest University 1999 — 2003
Bachelor's Degree
Linklaters LLP March 2013 - Present
Sullivan & Cromwell LLP September 2008 - February 2013
Goldman Sachs January 2011 - April 2011
Sullivan & Cromwell LLP May 2007 - April 2008
FINRA May 2006 - August 2006
Wachovia July 2003 - July 2005
Skills
Securities Regulation, Capital Markets, Securities, Corporate Law, Corporate Governance, IPO
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
Juris Doctor (J.D.)
Wake Forest University 1999 — 2003
Bachelor's Degree
Elliot Weitzman's FINRA Experience August 2013 - Present
Job Big Data Systems Engineer at FINRA
Industry Information Technology and Services
Experience
FINRA August 2013 - Present
Bank Of America July 2012 - July 2013
JC Penney February 2009 - July 2012
PepsiCo June 2005 - February 2009
MBNA 1994 - 2005
Skills
Hadoop, HDFS, HBase, Hive, Pig, CDH4, Cloudera Manager, Linux, Java, BASH, Sqoop, Kerberos, SQL, MySQL, PostgreSQL, Data Warehousing, Database Servers, Databases, Performance Tuning, Data Modeling, DB2, AIX, Business Intelligence, Replication, Mainframe, Data Marts, Capacity Planning, Perl, SAS, Technical Design, Dimensional Modeling, Star Schema, Decision Support, Eclipse, Subversion, Maven, JSON, RUBY, Integration
Education
University at Albany, SUNY 1974 — 1978
B.S., Major: Computer Science and Applied Math Minor: Physics
FINRA August 2013 - Present
Bank Of America July 2012 - July 2013
JC Penney February 2009 - July 2012
PepsiCo June 2005 - February 2009
MBNA 1994 - 2005
Skills
Hadoop, HDFS, HBase, Hive, Pig, CDH4, Cloudera Manager, Linux, Java, BASH, Sqoop, Kerberos, SQL, MySQL, PostgreSQL, Data Warehousing, Database Servers, Databases, Performance Tuning, Data Modeling, DB2, AIX, Business Intelligence, Replication, Mainframe, Data Marts, Capacity Planning, Perl, SAS, Technical Design, Dimensional Modeling, Star Schema, Decision Support, Eclipse, Subversion, Maven, JSON, RUBY, Integration
Education
University at Albany, SUNY 1974 — 1978
B.S., Major: Computer Science and Applied Math Minor: Physics
Steve Amato's FINRA Experience March 2000 - Present
Job Financial Reporting Manager at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
FINRA March 2000 - Present
Grant Thornton January 1999 - March 2000
Skills
SEC reporting, Financial Analysis, Accounting, Financial Reporting, SOX, Internal Controls, Forecasting, Budgeting, Financial Planning, Financial Modeling, Finance, Tax
Education
University of Maryland - Robert H. Smith School of Business 1996 — 1998
BS, Accounting
FINRA March 2000 - Present
Grant Thornton January 1999 - March 2000
Skills
SEC reporting, Financial Analysis, Accounting, Financial Reporting, SOX, Internal Controls, Forecasting, Budgeting, Financial Planning, Financial Modeling, Finance, Tax
Education
University of Maryland - Robert H. Smith School of Business 1996 — 1998
BS, Accounting
Danylo Rakowsky's FINRA Experience June 2010 - April 2011
Job Financial Data Analyst at Office of Financial Research at U.S. Department of the Treasury
Industry Financial Services
Experience
U.S. Department of the Treasury March 2013 - Present
Citi May 2011 - March 2013
FINRA June 2010 - April 2011
NYSE December 2009 - June 2010
NYSE June 2008 - December 2009
NYSE 2007 - June 2008
NYSE Regulation July 2006 - 2007
Army National Guard November 2000 - November 2006
The Ohio State University September 2005 - March 2006
Education
The Ohio State University 2002 — 2006
U.S. Department of the Treasury March 2013 - Present
Citi May 2011 - March 2013
FINRA June 2010 - April 2011
NYSE December 2009 - June 2010
NYSE June 2008 - December 2009
NYSE 2007 - June 2008
NYSE Regulation July 2006 - 2007
Army National Guard November 2000 - November 2006
The Ohio State University September 2005 - March 2006
Education
The Ohio State University 2002 — 2006
Mary Rose Murray's FINRA Experience
Job Investigator at FINRA
Industry Security and Investigations
Experience
FINRA
Skills
Securities Regulation, FINRA
Education
The George Washington University - School of Business 1979 — 1981
MBA, Investment & Finance
The Catholic University of America 1971 — 1975
BA, Sociology
FINRA
Skills
Securities Regulation, FINRA
Education
The George Washington University - School of Business 1979 — 1981
MBA, Investment & Finance
The Catholic University of America 1971 — 1975
BA, Sociology
William (Bill) Berger's FINRA Experience October 2003 - Present
Job Regulatory Principal at FINRA
Industry Financial Services
Experience
FINRA October 2003 - Present
Allstate Financial Services, LLC & Integrity Life Insurance Company January 2001 - September 2003
Education
University of Louisville 1994 — 1999
FINRA October 2003 - Present
Allstate Financial Services, LLC & Integrity Life Insurance Company January 2001 - September 2003
Education
University of Louisville 1994 — 1999
Fletcher Thomason's FINRA Experience January 2011 - July 2011
Job Business Data Analyst at Xpressdocs
Industry Information Technology and Services
Experience
Xpressdocs July 2014 - Present
GM Financial March 2014 - July 2014
Think Finance August 2011 - March 2014
FINRA January 2011 - July 2011
DynCorp International LLC September 2005 - January 2011
Electronic Data Systems (EDS) January 2000 - August 2005
Sabre Holdings October 1997 - January 2000
Stream International September 1996 - October 1997
Skills
SDLC, Requirements Gathering, Visio, Requirements Analysis, Business Analysis, Business Requirements, SharePoint, Software Documentation, Project Management, ITIL, MS Project, Process Improvement, Risk Management, Business Process, SQL, PMP, Integration, Leadership, Information Technology, Business Process..., PMO, Software Project..., Vendor Management, Business Intelligence
Education
The University of Texas at Arlington 2001 — 2003
MBA, Accounting, Finance, Marketing, Business Management, Project Management, Statistics
The University of Texas at Arlington 1994 — 1997
BFA, Theater Management, Psychology
Xpressdocs July 2014 - Present
GM Financial March 2014 - July 2014
Think Finance August 2011 - March 2014
FINRA January 2011 - July 2011
DynCorp International LLC September 2005 - January 2011
Electronic Data Systems (EDS) January 2000 - August 2005
Sabre Holdings October 1997 - January 2000
Stream International September 1996 - October 1997
Skills
SDLC, Requirements Gathering, Visio, Requirements Analysis, Business Analysis, Business Requirements, SharePoint, Software Documentation, Project Management, ITIL, MS Project, Process Improvement, Risk Management, Business Process, SQL, PMP, Integration, Leadership, Information Technology, Business Process..., PMO, Software Project..., Vendor Management, Business Intelligence
Education
The University of Texas at Arlington 2001 — 2003
MBA, Accounting, Finance, Marketing, Business Management, Project Management, Statistics
The University of Texas at Arlington 1994 — 1997
BFA, Theater Management, Psychology
John Macharia's FINRA Experience October 1997 - August 2007
Job Principal Regulatory Coordinator at Financial Industry Regulatory Authority
Industry Financial Services
Experience
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 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
Don Steel's FINRA Experience 2007 - 2010
Job President at Planned Investment Co., Inc
Industry Financial Services
Experience
Planned Investment Co., Inc August 1987 - Present
FINRA 2007 - 2010
USN 1971 - 2002
United States Navy Reserve 1971 - 2002
Patrol Squadron SIX FOUR 1994 - 1996
Skills
Investment Advisory, Investments, Retirement Planning, Series 7, Series 24, FINRA, Securities, Financial Advisory, Asset Management, Fixed Annuities, Alternative Investments, Investment Management, Retirement, Security Clearance, Executive Management, Equity Trading, Risk Management, Wealth Management, Mutual Funds, Strategic Planning, Navy, Bonds, Military, Series 63, Due Diligence, Portfolio Management, Investment Strategies, Insurance, Capital Markets, Strategic Financial..., Fixed Income, Equities, Financial Services, Asset Allocation, ETFs, Command, Trading, Financial Planning
Education
United States Naval Academy 1971 — 1975
Planned Investment Co., Inc August 1987 - Present
FINRA 2007 - 2010
USN 1971 - 2002
United States Navy Reserve 1971 - 2002
Patrol Squadron SIX FOUR 1994 - 1996
Skills
Investment Advisory, Investments, Retirement Planning, Series 7, Series 24, FINRA, Securities, Financial Advisory, Asset Management, Fixed Annuities, Alternative Investments, Investment Management, Retirement, Security Clearance, Executive Management, Equity Trading, Risk Management, Wealth Management, Mutual Funds, Strategic Planning, Navy, Bonds, Military, Series 63, Due Diligence, Portfolio Management, Investment Strategies, Insurance, Capital Markets, Strategic Financial..., Fixed Income, Equities, Financial Services, Asset Allocation, ETFs, Command, Trading, Financial Planning
Education
United States Naval Academy 1971 — 1975
Michael Miller, J.D., CFE's FINRA Experience 2007 - 2008
Job Experienced Attorney/Safety Manager
Industry Aviation & Aerospace
Experience
Aviation & Aerospace Manufacturer and Servicer April 2013 - Present
Savannah State University August 2011 - Present
Aviation & Aerospace Manufacturer and Servicer 2011 - Present
The Law Office of Michael B. Miller 2006 - January 2015
FINRA 2007 - 2008
Office of Human Rights 2006 - 2007
United States Air Force 2005 - 2005
State of Ohio 2002 - 2005
Cincinnati Police Department 1998 - 2002
Skills
Investigations, Compliance, Internal Investigations, Corporate Governance, Fraud, Employee Relations, Technical Training, Discrimination Law, Policy Analysis, Employment Law, Risk Assessment, Management effectiveness, Law Enforcement, Ethics, Government, Manufacturing, Certified Fraud Examiner, Enforcement, Critical Thinking, Mediation, Conflict Resolution, Legal Issues, Litigation, Private Investigations, Training, Corporate Law, Criminal Justice, Homeland Security, Management, Policy, Supervisory Skills, Criminal Law, Police, Legal Research, Risk Management, Evidence, Investigation, Program Management, Interviews, Flawless Execution, Leadership, Analysis, Westlaw, Auditing
Education
Thomas M. Cooley Law School 2002 — 2005
Juris Doctor
University of Cincinnati 2000 — 2002
B.S.
The Ohio State University 1992 — 1996
Aviation & Aerospace Manufacturer and Servicer April 2013 - Present
Savannah State University August 2011 - Present
Aviation & Aerospace Manufacturer and Servicer 2011 - Present
The Law Office of Michael B. Miller 2006 - January 2015
FINRA 2007 - 2008
Office of Human Rights 2006 - 2007
United States Air Force 2005 - 2005
State of Ohio 2002 - 2005
Cincinnati Police Department 1998 - 2002
Skills
Investigations, Compliance, Internal Investigations, Corporate Governance, Fraud, Employee Relations, Technical Training, Discrimination Law, Policy Analysis, Employment Law, Risk Assessment, Management effectiveness, Law Enforcement, Ethics, Government, Manufacturing, Certified Fraud Examiner, Enforcement, Critical Thinking, Mediation, Conflict Resolution, Legal Issues, Litigation, Private Investigations, Training, Corporate Law, Criminal Justice, Homeland Security, Management, Policy, Supervisory Skills, Criminal Law, Police, Legal Research, Risk Management, Evidence, Investigation, Program Management, Interviews, Flawless Execution, Leadership, Analysis, Westlaw, Auditing
Education
Thomas M. Cooley Law School 2002 — 2005
Juris Doctor
University of Cincinnati 2000 — 2002
B.S.
The Ohio State University 1992 — 1996
Katie Andrews's FINRA Experience March 2012 - Present
Job Financial Services Professional
Industry Financial Services
Experience
FINRA March 2012 - Present
Ceros Financial Services, Inc. September 2010 - March 2012
JP Morgan Worldwide Securities Services August 2009 - August 2010
Rydex Investments 2004 - 2009
Skills
Alternative Investments, Series 7, Mutual Funds, Equities, Series 63, FINRA, Series 24
Education
The Ohio State University 1997 — 2001
FINRA March 2012 - Present
Ceros Financial Services, Inc. September 2010 - March 2012
JP Morgan Worldwide Securities Services August 2009 - August 2010
Rydex Investments 2004 - 2009
Skills
Alternative Investments, Series 7, Mutual Funds, Equities, Series 63, FINRA, Series 24
Education
The Ohio State University 1997 — 2001
Ann Persico's FINRA Experience May 2014 - Present
Job
Industry Financial Services
Experience
FINRA May 2014 - Present
Education
University of Illinois at Urbana-Champaign - College of Business 1991 — 1995
FINRA May 2014 - Present
Education
University of Illinois at Urbana-Champaign - College of Business 1991 — 1995
Faye Frierson's FINRA Experience 1998 - 2004
Job VP / Consultant at Buchanan Associates, LLC
Industry Financial Services
Experience
Buchanan Associates, LLC October 2004 - Present
FINRA 1998 - 2004
Skills
Risk Management, Data Center, Asset Managment, Hedge Funds, Disaster Recovery, Equities, Visio, Microsoft Excel, Virtualization, Capital Markets, Securities, Microsoft Office, Asset Management, Investments, Fixed Income, Executive Management, Banking, Financial Services, Due Diligence, Alternative Investments, Series 7
Education
University of Hartford 1982 — 1986
Buchanan Associates, LLC October 2004 - Present
FINRA 1998 - 2004
Skills
Risk Management, Data Center, Asset Managment, Hedge Funds, Disaster Recovery, Equities, Visio, Microsoft Excel, Virtualization, Capital Markets, Securities, Microsoft Office, Asset Management, Investments, Fixed Income, Executive Management, Banking, Financial Services, Due Diligence, Alternative Investments, Series 7
Education
University of Hartford 1982 — 1986
Mario Greszes's FINRA Experience March 2005 - Present
Job senior analyst at finra
Industry Financial Services
Experience
finra March 2005 - Present
Education
The George Washington University Law School 1982 — 1985
finra March 2005 - Present
Education
The George Washington University Law School 1982 — 1985
F. Justin Robinson, MBA's FINRA Experience June 2014 - Present
Job Senior Analyst at Finra
Industry Financial Services
Experience
Finra June 2014 - Present
Morgan Stanley July 2011 - June 2014
Citigroup Inc. May 2007 - November 2010
2003 & 2004 May 2006 - May 2007
Bank of America/MBNA May 2004 - May 2007
Bank of America/MBNA June 2002 - August 2002
Skills
PowerPoint, Banking, Project Management, Finance
Education
University of Delaware
Bachelor of Science, Finance
2011-Wilmington University
MBA, Finance
University of Delaware
B.S, Finance
Wilmington University
Master, Business Administration; Finance
Finra June 2014 - Present
Morgan Stanley July 2011 - June 2014
Citigroup Inc. May 2007 - November 2010
2003 & 2004 May 2006 - May 2007
Bank of America/MBNA May 2004 - May 2007
Bank of America/MBNA June 2002 - August 2002
Skills
PowerPoint, Banking, Project Management, Finance
Education
University of Delaware
Bachelor of Science, Finance
2011-Wilmington University
MBA, Finance
University of Delaware
B.S, Finance
Wilmington University
Master, Business Administration; Finance
Jess Haberman's FINRA Experience January 1985 - December 1996
Job Director of Compliance at Fidessa Corp.
Industry Financial Services
Experience
Fidessa Corp. June 2001 - Present
Knight Securities 2000 - June 2001
Brut LLC June 1998 - June 2000
Smith Barney January 1997 - June 1998
National Association of Securities Dealers 1985 - 1997
FINRA January 1985 - December 1996
Skills
Securities, Equities, Electronic Trading, Trading Systems, Series 7, Equity Trading, Options, Hedge Funds, Prime Brokerage, Trading, Capital Markets, Derivatives, AML, FINRA, Financial Markets, Series 24, Financial Risk, Order Management, Series 63, SEC
Education
University of New Orleans 1981 — 1983
MBA, Finance
Tulane University 1970 — 1974
BS, Psychology
Fidessa Corp. June 2001 - Present
Knight Securities 2000 - June 2001
Brut LLC June 1998 - June 2000
Smith Barney January 1997 - June 1998
National Association of Securities Dealers 1985 - 1997
FINRA January 1985 - December 1996
Skills
Securities, Equities, Electronic Trading, Trading Systems, Series 7, Equity Trading, Options, Hedge Funds, Prime Brokerage, Trading, Capital Markets, Derivatives, AML, FINRA, Financial Markets, Series 24, Financial Risk, Order Management, Series 63, SEC
Education
University of New Orleans 1981 — 1983
MBA, Finance
Tulane University 1970 — 1974
BS, Psychology
Beth Ajai, PHR's FINRA Experience Benefits/Program AdministratorFinancial Industry Regulatory AuthorityMay 2011 - Present
Job Benefits/Program Administrator at Financial Industry Regulatory Authority
Industry Financial Services
Experience
FINRA Benefits/Program AdministratorFinancial Industry Regulatory AuthorityMay 2011 - Present
Financial Industry Regulatory Authority - FINRA 2006 - Present
Optimus 2002 - 2004
Skills
Human Resources
Education
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland College Park
FINRA Benefits/Program AdministratorFinancial Industry Regulatory AuthorityMay 2011 - Present
Financial Industry Regulatory Authority - FINRA 2006 - Present
Optimus 2002 - 2004
Skills
Human Resources
Education
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland College Park
Erin Saulino's FINRA Experience January 2010 - Present
Job Assistant Director at FINRA
Industry Financial Services
Experience
FINRA January 2010 - Present
NASDAQ OMX PHLX/ Philadelphia Stock Exchange June 2004 - January 2010
Kroll Inc. June 2000 - June 2004
Education
Widener University School of Law 2003 — 2006
JD, Law
The George Washington University 1996 — 2000
BA, International Affairs and Economics
FINRA January 2010 - Present
NASDAQ OMX PHLX/ Philadelphia Stock Exchange June 2004 - January 2010
Kroll Inc. June 2000 - June 2004
Education
Widener University School of Law 2003 — 2006
JD, Law
The George Washington University 1996 — 2000
BA, International Affairs and Economics
Dave Roscum, CPA's FINRA Experience June 2001 - Present
Job Manager, Investigations/Sweeps, FINRA
Industry Financial Services
Experience
FINRA June 2001 - Present
T. Rowe Price June 1996 - June 2001
NASD 1992 - 1996
Education
University of Iowa 1977 — 1982
Business
Marymount Univeristy
MBA, Finance
FINRA June 2001 - Present
T. Rowe Price June 1996 - June 2001
NASD 1992 - 1996
Education
University of Iowa 1977 — 1982
Business
Marymount Univeristy
MBA, Finance
Kevin Kaiser's FINRA Experience 2006 - 2007
Job Brown Advisory Head of Institutional Services
Industry Financial Services
Experience
Sterne Agee August 2014 - May 2015
Stifel Nicolaus May 2007 - July 2014
FINRA 2006 - 2007
Education
The Johns Hopkins University 1995 — 1998
Sterne Agee August 2014 - May 2015
Stifel Nicolaus May 2007 - July 2014
FINRA 2006 - 2007
Education
The Johns Hopkins University 1995 — 1998
Cheryl Mavritte's FINRA Experience Senior Independent ConsultantMyLoveablelegs.comAugust 2009 - Present
Job Sr. Independent Consultant at MyLoveablelegs.com
Industry Security and Investigations
Experience
FINRA Senior Independent ConsultantMyLoveablelegs.comAugust 2009 - Present
Education
The University of Texas at El Paso 1979 — 1983
FINRA Senior Independent ConsultantMyLoveablelegs.comAugust 2009 - Present
Education
The University of Texas at El Paso 1979 — 1983
Seferovich, Alla's FINRA Experience July 2006 - Present
Job IS Audit Project Leader at FINRA
Industry Financial Services
Experience
FINRA July 2006 - Present
Education
University of Maryland - Robert H. Smith School of Business 1996 — 2000
FINRA July 2006 - Present
Education
University of Maryland - Robert H. Smith School of Business 1996 — 2000
Krysta Bonner, SPHR's FINRA Experience September 2006 - March 2010
Job Compensation and Benefits Administrator at Regency Centers
Industry Human Resources
Experience
North Florida Compensation & Benefits Association January 2015 - Present
Regency Centers July 2014 - Present
Coach June 2011 - July 2014
Hope Haven April 2010 - June 2011
FINRA September 2006 - March 2010
Skills
College Recruiting, Human Resources, HRIS, Employee Relations, Onboarding, Employee Benefits
Education
University of Florida
BA, Sociology
North Florida Compensation & Benefits Association January 2015 - Present
Regency Centers July 2014 - Present
Coach June 2011 - July 2014
Hope Haven April 2010 - June 2011
FINRA September 2006 - March 2010
Skills
College Recruiting, Human Resources, HRIS, Employee Relations, Onboarding, Employee Benefits
Education
University of Florida
BA, Sociology
Joe Jurgena's FINRA Experience January 2008 - August 2009
Job Sr. Data Architect (Contract) at Coastal Sunbelt Produce
Industry Information Technology and Services
Experience
Database Solutions, Inc. 1992 - Present
Coastal Sunbelt Produce September 2014 - July 2015
Allegiant Air April 2014 - October 2014
Computech, Inc. October 2012 - September 2013
Apprio Inc. March 2009 - February 2011
FINRA January 2008 - August 2009
Apprio Inc. May 2003 - November 2004
Stone Street Capital 2001 - 2003
MAMSI November 1993 - June 1999
WebASPNet LLC 1999 - 1999
Skills
Team Building, Databases, Data Migration, Data Modeling, Metadata, Data Warehousing, Database Design, ETL, Microsoft SQL Server, Requirements Analysis, PL/SQL, XML, SQL, Disaster Recovery, T-SQL, Shell Scripting, DB2, FoxPro, Oracle, Sybase, Greenplum, Access, VBA, Database Administration, Unix Shell Scripting, Risk Management, Data Quality, SQL Tuning, Risk Mitigation, PostgreSQL, Pick, Database Queries, Team Management, XML Schema, Optimization, SQLLDR, Risk Assessment, Spreadsheets, Healthcare Information..., Direct Marketing, CRM, Big Data
Education
Towson University 1987 — 1990
BS Information Science, Information Technology & Business
St John's Literary Institution at Prospect Hall
Database Solutions, Inc. 1992 - Present
Coastal Sunbelt Produce September 2014 - July 2015
Allegiant Air April 2014 - October 2014
Computech, Inc. October 2012 - September 2013
Apprio Inc. March 2009 - February 2011
FINRA January 2008 - August 2009
Apprio Inc. May 2003 - November 2004
Stone Street Capital 2001 - 2003
MAMSI November 1993 - June 1999
WebASPNet LLC 1999 - 1999
Skills
Team Building, Databases, Data Migration, Data Modeling, Metadata, Data Warehousing, Database Design, ETL, Microsoft SQL Server, Requirements Analysis, PL/SQL, XML, SQL, Disaster Recovery, T-SQL, Shell Scripting, DB2, FoxPro, Oracle, Sybase, Greenplum, Access, VBA, Database Administration, Unix Shell Scripting, Risk Management, Data Quality, SQL Tuning, Risk Mitigation, PostgreSQL, Pick, Database Queries, Team Management, XML Schema, Optimization, SQLLDR, Risk Assessment, Spreadsheets, Healthcare Information..., Direct Marketing, CRM, Big Data
Education
Towson University 1987 — 1990
BS Information Science, Information Technology & Business
St John's Literary Institution at Prospect Hall
Lakshmi Palaniswamy's FINRA Experience January 2011 - Present
Job Systems and Requirements Analysis Lead
Industry Information Technology and Services
Experience
FINRA January 2011 - Present
FannieMae 2010 - 2011
SIS September 2008 - June 2010
Wells Fargo Home Mortgage February 2007 - August 2008
Freddie Mac 2006 - 2007
American Re-Insurance Company 2005 - 2006
Skills
Data Warehousing, ETL, SDLC, PL/SQL, Requirements Analysis, Oracle, Business Intelligence, SQL, Data Modeling, Unix, Requirements Gathering, Informatica, Business Analysis, Datastage, Unix Shell Scripting, Teradata, DB2, Data Integration, Data Warehouse..., Database Design, Solution Architecture
Education
University of Madras
MS
FINRA January 2011 - Present
FannieMae 2010 - 2011
SIS September 2008 - June 2010
Wells Fargo Home Mortgage February 2007 - August 2008
Freddie Mac 2006 - 2007
American Re-Insurance Company 2005 - 2006
Skills
Data Warehousing, ETL, SDLC, PL/SQL, Requirements Analysis, Oracle, Business Intelligence, SQL, Data Modeling, Unix, Requirements Gathering, Informatica, Business Analysis, Datastage, Unix Shell Scripting, Teradata, DB2, Data Integration, Data Warehouse..., Database Design, Solution Architecture
Education
University of Madras
MS
Shazia Alam's FINRA Experience 2001 - 2008
Job Program Manager at Fannie Mae
Industry Information Technology and Services
Experience
Fannie Mae February 2012 - Present
HP Enterprise Services January 2010 - January 2012
Edmonds Enterprise Services February 2009 - September 2009
EDS January 2001 - January 2009
FINRA 2001 - 2008
Skills
IT Service Management, Outsourcing, Governance, Change Management, Service Delivery, ITIL, Business Intelligence, Release Management, Cross-functional Team..., Management, Service Management, Leadership, IT Strategy, Software Project..., Integration, Cloud Computing, Software Development, Project Management
Education
The University of Manchester 1992 — 1995
Eng
Fannie Mae February 2012 - Present
HP Enterprise Services January 2010 - January 2012
Edmonds Enterprise Services February 2009 - September 2009
EDS January 2001 - January 2009
FINRA 2001 - 2008
Skills
IT Service Management, Outsourcing, Governance, Change Management, Service Delivery, ITIL, Business Intelligence, Release Management, Cross-functional Team..., Management, Service Management, Leadership, IT Strategy, Software Project..., Integration, Cloud Computing, Software Development, Project Management
Education
The University of Manchester 1992 — 1995
Eng
Jay Gibbon's FINRA Experience March 2004 - Present
Job Manager Office of Fraud Detection and Market Intelligence
Industry Financial Services
Experience
FINRA March 2004 - Present
Education
The Johns Hopkins University - Carey Business School 2004 — 2007
MBA, Management
University of Maryland College Park 1990 — 1995
BA, Economics
FINRA March 2004 - Present
Education
The Johns Hopkins University - Carey Business School 2004 — 2007
MBA, Management
University of Maryland College Park 1990 — 1995
BA, Economics
Marc Neri, CFA's FINRA Experience September 2007 - December 2011
Job Vice President at Silicon Valley Bank
Industry Venture Capital & Private Equity
Experience
Silicon Valley Bank December 2011 - Present
Ann & Robert H. Lurie Children's Hospital of Chicago September 2011 - Present
FINRA September 2007 - December 2011
UBS Wealth Management June 2006 - August 2006
Education
University of Iowa - Henry B. Tippie College of Business 2003 — 2007
BBA, Finance and Entrepreneurship
Silicon Valley Bank December 2011 - Present
Ann & Robert H. Lurie Children's Hospital of Chicago September 2011 - Present
FINRA September 2007 - December 2011
UBS Wealth Management June 2006 - August 2006
Education
University of Iowa - Henry B. Tippie College of Business 2003 — 2007
BBA, Finance and Entrepreneurship
Dennis Azary's FINRA Experience 2000 - 2004
Job Director, Assurance at Burr Pilger Mayer
Industry Financial Services
Experience
Burr Pilger Mayer January 2012 - Present
WR Hambrecht + Co December 2004 - December 2011
FINRA 2000 - 2004
Education
The University of Connecticut 1989 — 1993
Bachelor of Arts, Economics
Burr Pilger Mayer January 2012 - Present
WR Hambrecht + Co December 2004 - December 2011
FINRA 2000 - 2004
Education
The University of Connecticut 1989 — 1993
Bachelor of Arts, Economics
Purav Shah's FINRA Experience 2003 - 2003
Job Director at UBS Wealth Management Americas
Industry Financial Services
Experience
UBS Wealth Management 2014 - Present
UBS Wealth Management 2007 - 2014
J.P. Morgan 2006 - 2007
Deloitte 2004 - 2006
FINRA 2003 - 2003
Tullett Prebon 2001 - 2002
Ernst & Young 1999 - 2001
Skills
Alternative Investments, Series 7, Equities, Asset Management, Hedge Funds, Investments, Mutual Funds, Fixed Income, Financial Services, Financial Modeling, Asset Allocation, Financial Analysis
Education
The College of William and Mary - The Mason School of Business 2002 — 2004
MBA, Finance & Marketing
UBS Wealth Management 2014 - Present
UBS Wealth Management 2007 - 2014
J.P. Morgan 2006 - 2007
Deloitte 2004 - 2006
FINRA 2003 - 2003
Tullett Prebon 2001 - 2002
Ernst & Young 1999 - 2001
Skills
Alternative Investments, Series 7, Equities, Asset Management, Hedge Funds, Investments, Mutual Funds, Fixed Income, Financial Services, Financial Modeling, Asset Allocation, Financial Analysis
Education
The College of William and Mary - The Mason School of Business 2002 — 2004
MBA, Finance & Marketing
Andrew C. Goresh's FINRA Experience 2001 - 2006
Job Principal at Coaching for Transitions LLC
Industry Human Resources
Experience
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Susan Kole's FINRA Experience December 2008 - Present
Job Regulatory Analyst, FINRA
Industry Legal Services
Experience
FINRA December 2008 - Present
American Health Lawyers Association January 2008 - January 2010
Education
University of Wisconsin Law School 1989 — 1992
J.D.
Tufts University 1982 — 1986
B.A.
Washington Lee High School 1978 — 1982
GED
The London School of Economics and Political Science (LSE)
FINRA December 2008 - Present
American Health Lawyers Association January 2008 - January 2010
Education
University of Wisconsin Law School 1989 — 1992
J.D.
Tufts University 1982 — 1986
B.A.
Washington Lee High School 1978 — 1982
GED
The London School of Economics and Political Science (LSE)
Greg Firehock's FINRA Experience 2004 - Present
Job Senior Litigation Counsel at FINRA
Industry Legal Services
Experience
FINRA 2004 - Present
U.S. Department of Justice 1998 - 2004
Mintz Levin 1996 - 1998
WilmerHale 1993 - 1996
Education
The George Washington University Law School 2000 — 2003
Law
FINRA 2004 - Present
U.S. Department of Justice 1998 - 2004
Mintz Levin 1996 - 1998
WilmerHale 1993 - 1996
Education
The George Washington University Law School 2000 — 2003
Law
Seth Levy's FINRA Experience January 2010 - March 2012
Job Director at Financial Industry Regulatory Authority
Industry Financial Services
Experience
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
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
Justin Rich, CRCP's FINRA Experience September 2014 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA September 2014 - Present
FINRA December 2007 - August 2014
Education
University of Illinois at Chicago 2005 — 2007
BS, Finance
FINRA September 2014 - Present
FINRA December 2007 - August 2014
Education
University of Illinois at Chicago 2005 — 2007
BS, Finance
Arlene Sha's FINRA Experience Director of Training, Human ResourcesFinancial Industry Regulatory Authority2006 - Present
Job Director of Training at FINRA
Industry Financial Services
Experience
FINRA Director of Training, Human ResourcesFinancial Industry Regulatory Authority2006 - Present
Andersen Consulting 1987 - 1990
Skills
Training, Personal Development, Succession Planning, Performance Management, Human Resources, Onboarding, Leadership Development, Relationship-builder..., Instructional Design, Organizational..., Workshop Facilitation, Training Delivery, Employee Training, Employee Relations, Talent Management
Education
The University of Texas at Austin 1985 — 1987
MBA
The University of Texas at Arlington - College of Business 1980 — 1985
bba, marketing
FINRA Director of Training, Human ResourcesFinancial Industry Regulatory Authority2006 - Present
Andersen Consulting 1987 - 1990
Skills
Training, Personal Development, Succession Planning, Performance Management, Human Resources, Onboarding, Leadership Development, Relationship-builder..., Instructional Design, Organizational..., Workshop Facilitation, Training Delivery, Employee Training, Employee Relations, Talent Management
Education
The University of Texas at Austin 1985 — 1987
MBA
The University of Texas at Arlington - College of Business 1980 — 1985
bba, marketing
Thomas Fonseca's FINRA Experience September 2003 - Present
Job Senior Director at FINRA
Industry Financial Services
Experience
FINRA September 2003 - Present
RDA 2000 - 2003
Unisys 1997 - 2000
Skills
SDLC, Requirements Analysis, Data Analysis, Agile Methodologies, Enterprise Architecture, Strategic Planning, Software Project..., SOA, PL/SQL, Integration, Database Security, Business Analysis, Software Development, Business Intelligence, Data Warehousing, Database Design
Education
The Johns Hopkins University 1994 — 1995
Graduate Studies, Electrical Engineering
Towson University 1987 — 1992
B.S., Physics
FINRA September 2003 - Present
RDA 2000 - 2003
Unisys 1997 - 2000
Skills
SDLC, Requirements Analysis, Data Analysis, Agile Methodologies, Enterprise Architecture, Strategic Planning, Software Project..., SOA, PL/SQL, Integration, Database Security, Business Analysis, Software Development, Business Intelligence, Data Warehousing, Database Design
Education
The Johns Hopkins University 1994 — 1995
Graduate Studies, Electrical Engineering
Towson University 1987 — 1992
B.S., Physics
Andrew Sovonick's FINRA Experience March 2012 - Present
Job Business Support Analyst at FINRA
Industry Information Technology and Services
Experience
FINRA March 2012 - Present
The Humane Society of the United States May 2008 - January 2012
Education
University of Maryland College Park 2006 — 2008
Bachelor’s Degree, Communication, General
FINRA March 2012 - Present
The Humane Society of the United States May 2008 - January 2012
Education
University of Maryland College Park 2006 — 2008
Bachelor’s Degree, Communication, General
Nadine Findeisen's FINRA Experience 1995 - Present
Job Program Manager at FINRA
Industry Financial Services
Experience
FINRA 1995 - Present
Prudential Home Mortgage 1989 - 1995
First Women's Bank November 1986 - September 1989
Education
University of Maryland College Park 1982 — 1985
BA, Government and Politics
The George Washington University 1981 — 1982
La Reine High School 1979 — 1981
FINRA 1995 - Present
Prudential Home Mortgage 1989 - 1995
First Women's Bank November 1986 - September 1989
Education
University of Maryland College Park 1982 — 1985
BA, Government and Politics
The George Washington University 1981 — 1982
La Reine High School 1979 — 1981
Ianthe Philips's FINRA Experience Case Assistant ManagerFINRA Dispute ResolutionOctober 2007 - July 2008
Job Hearing Administrator at FINRA
Industry Alternative Dispute Resolution
Experience
FINRA Case Assistant ManagerFINRA Dispute ResolutionOctober 2007 - July 2008
FINRA Dispute Resolution May 2005 - October 2007
Education
University of California, San Diego 1988 — 1993
FINRA Case Assistant ManagerFINRA Dispute ResolutionOctober 2007 - July 2008
FINRA Dispute Resolution May 2005 - October 2007
Education
University of California, San Diego 1988 — 1993
Patricia Coulson's FINRA Experience July 1997 - December 2008
Job Analyst/Case Manager
Industry Alternative Dispute Resolution
Experience
FINRA f/k/a NASD August 1997 - December 2008
FINRA July 1997 - December 2008
Education
The University of Edinburgh
MA, German/History
FINRA f/k/a NASD August 1997 - December 2008
FINRA July 1997 - December 2008
Education
The University of Edinburgh
MA, German/History
Justin Chretien's FINRA Experience November 2013 - Present
Job Chief Counsel, Market Regulation, Financial Industry Regulatory Authority (FINRA)
Industry Law Practice
Experience
FINRA November 2013 - Present
FINRA September 2011 - November 2013
Securities & Exchange Comm'n March 2008 - September 2011
US Department of Justice December 1997 - March 2008
Private Practice October 1994 - December 1997
Katten Muchin Zavis & Dombroff May 1992 - September 1994
United States Air Force May 1980 - September 1989
Skills
Securities, Litigation, Civil Litigation, Securities Litigation, Courts, FINRA, Trials, Securities Regulation, Commercial Litigation, Fraud, FCPA, Arbitration, Defense, Mediation, Class Actions, Appeals, Legal Compliance, Product Liability, Insurance Law, Personal Injury, Torts, Litigation Support, Legal Writing, Intellectual Property, White Collar Criminal...
Education
The George Washington University Law School 1989 — 1992
J.D., Law
United States Air Force Academy 1976 — 1980
B.S., Astronautical Engineering
FINRA November 2013 - Present
FINRA September 2011 - November 2013
Securities & Exchange Comm'n March 2008 - September 2011
US Department of Justice December 1997 - March 2008
Private Practice October 1994 - December 1997
Katten Muchin Zavis & Dombroff May 1992 - September 1994
United States Air Force May 1980 - September 1989
Skills
Securities, Litigation, Civil Litigation, Securities Litigation, Courts, FINRA, Trials, Securities Regulation, Commercial Litigation, Fraud, FCPA, Arbitration, Defense, Mediation, Class Actions, Appeals, Legal Compliance, Product Liability, Insurance Law, Personal Injury, Torts, Litigation Support, Legal Writing, Intellectual Property, White Collar Criminal...
Education
The George Washington University Law School 1989 — 1992
J.D., Law
United States Air Force Academy 1976 — 1980
B.S., Astronautical Engineering
Antonio Kassar's FINRA Experience September 2009 - November 2012
Job Senior Investigator at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority November 2012 - Present
FINRA September 2009 - November 2012
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
JD
Virginia Polytechnic Institute and State University 2002 — 2006
BS, Finance
Financial Industry Regulatory Authority November 2012 - Present
FINRA September 2009 - November 2012
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
JD
Virginia Polytechnic Institute and State University 2002 — 2006
BS, Finance
Sharon Guthrie's FINRA Experience July 1999 - Present
Job Assoc GC at FINRA
Industry Financial Services
Experience
FINRA July 1999 - Present
law offices of bernard corbett January 1996 - July 1999
KPMG Peat Marwick 1988 - 1991
Skills
Securities Regulation, Securities, Financial Regulation, Risk Management, Equities, FINRA, Capital Markets, Business Litigation, Commercial Transactions, Intellectual Property, Corporate Governance, Securities Litigation, Due Diligence, AML, Commercial Litigation, Anti Money Laundering, SEC, Financial Services, Mergers & Acquisitions, Strategic Planning, Corporate Law, Litigation, Legal Research, Management, Investments, Financial Analysis, Analysis
Education
The Catholic University of America 1983 — 1988
Bachelor's degree, financial management
Thomas Jefferson High School 1979 — 1983
Catholic University, Columbus School of Law, Catholic University
FINRA July 1999 - Present
law offices of bernard corbett January 1996 - July 1999
KPMG Peat Marwick 1988 - 1991
Skills
Securities Regulation, Securities, Financial Regulation, Risk Management, Equities, FINRA, Capital Markets, Business Litigation, Commercial Transactions, Intellectual Property, Corporate Governance, Securities Litigation, Due Diligence, AML, Commercial Litigation, Anti Money Laundering, SEC, Financial Services, Mergers & Acquisitions, Strategic Planning, Corporate Law, Litigation, Legal Research, Management, Investments, Financial Analysis, Analysis
Education
The Catholic University of America 1983 — 1988
Bachelor's degree, financial management
Thomas Jefferson High School 1979 — 1983
Catholic University, Columbus School of Law, Catholic University
Avinash Aluvala's FINRA Experience May 2009 - August 2009
Job Senior Consultant at The Advisory Board Company
Industry Computer Software
Experience
The Advisory Board Company June 2010 - Present
George Washington University - OVPR February 2009 - May 2010
FINRA May 2009 - August 2009
Skills
Databases, jQuery, .NET, Visual Basic, VBA, XML, SQL, C#, Software Development, C++, Ext JS, Sencha Touch
Education
The George Washington University 2008 — 2010
MS, Computer Science
University of Pune 2004 — 2008
Bachelors In Engineering, Computer Science
The Bishop's School
The Advisory Board Company June 2010 - Present
George Washington University - OVPR February 2009 - May 2010
FINRA May 2009 - August 2009
Skills
Databases, jQuery, .NET, Visual Basic, VBA, XML, SQL, C#, Software Development, C++, Ext JS, Sencha Touch
Education
The George Washington University 2008 — 2010
MS, Computer Science
University of Pune 2004 — 2008
Bachelors In Engineering, Computer Science
The Bishop's School
Hollie Boyle Schwartz's FINRA Experience September 2007 - Present
Job Associate Vice President at FINRA
Industry Financial Services
Experience
FINRA September 2007 - Present
NASD, Inc. 2005 - 2007
NASD, Inc. August 1997 - 2005
American Society of Civil Engineers April 1996 - August 1997
American Institute of Certified Public Accountants 1989 - 1996
Education
University of Maryland College Park
FINRA September 2007 - Present
NASD, Inc. 2005 - 2007
NASD, Inc. August 1997 - 2005
American Society of Civil Engineers April 1996 - August 1997
American Institute of Certified Public Accountants 1989 - 1996
Education
University of Maryland College Park
Gargi Sharma's FINRA Experience September 2005 - Present
Job Senior Examiner at FINRA
Industry Financial Services
Experience
FINRA September 2005 - Present
Bank One June 2003 - September 2006
Education
The University of Texas at Dallas 2006 — 2008
Masters of Science, Accounting
The University of Texas at Dallas 2003 — 2005
MBA, Finance
FINRA September 2005 - Present
Bank One June 2003 - September 2006
Education
The University of Texas at Dallas 2006 — 2008
Masters of Science, Accounting
The University of Texas at Dallas 2003 — 2005
MBA, Finance
Dian Moore's FINRA Experience 2006 - Present
Job Vendor Services Manager at Financial Industry Regulatory Authority
Industry Financial Services
Experience
FINRA 2006 - Present
Financial Industry Regulatory Authority July 2011 - Present
FINRA January 2006 - July 2011
Sierra Military Health Services 1997 - 2004
Total Health Care 1994 - 1996
Skills
FINRA, Securities, Series 7, Series 24, AML, Series 63, Financial Services, Mutual Funds, Customer Service, Call Center, Process Improvement, Insurance, Banking, KYC, Data Analysis, Microsoft Excel, Outlook, Risk Management, Uniform Combined State..., Credit, Solution-oriented, Customer Driven
Education
Towson University
Psychology, psychology
FINRA 2006 - Present
Financial Industry Regulatory Authority July 2011 - Present
FINRA January 2006 - July 2011
Sierra Military Health Services 1997 - 2004
Total Health Care 1994 - 1996
Skills
FINRA, Securities, Series 7, Series 24, AML, Series 63, Financial Services, Mutual Funds, Customer Service, Call Center, Process Improvement, Insurance, Banking, KYC, Data Analysis, Microsoft Excel, Outlook, Risk Management, Uniform Combined State..., Credit, Solution-oriented, Customer Driven
Education
Towson University
Psychology, psychology
Vincent Marzano's FINRA Experience July 2007 - August 2009
Job
Industry Financial Services
Experience
Fidelity Investments September 2012 - Present
Daiwa Capital Markets June 2010 - September 2012
RBS October 2009 - June 2010
FINRA July 2007 - August 2009
UBS May 2006 - August 2006
Skills
Series 27, Securities, Risk Management, Prime Brokerage, Fixed Income, Financial Services, Financial Markets, FINRA, Capital Markets
Education
University at Albany, SUNY 2003 — 2007
Fidelity Investments September 2012 - Present
Daiwa Capital Markets June 2010 - September 2012
RBS October 2009 - June 2010
FINRA July 2007 - August 2009
UBS May 2006 - August 2006
Skills
Series 27, Securities, Risk Management, Prime Brokerage, Fixed Income, Financial Services, Financial Markets, FINRA, Capital Markets
Education
University at Albany, SUNY 2003 — 2007
Paul Frohan's FINRA Experience March 1987 - August 1996
Job VP at RBC Wealth Mangement
Industry Financial Services
Experience
RBC Wealth Managment March 2002 - Present
Sutro and Company September 1996 - March 2002
FINRA March 1987 - August 1996
Skills
Investments, Mutual Funds, AML, Series 24, Series 7, Equities, FINRA, Series 63, Hedge Funds, Securities
Education
University of Illinois at Urbana-Champaign 1977 — 1981
BS, Finance
RBC Wealth Managment March 2002 - Present
Sutro and Company September 1996 - March 2002
FINRA March 1987 - August 1996
Skills
Investments, Mutual Funds, AML, Series 24, Series 7, Equities, FINRA, Series 63, Hedge Funds, Securities
Education
University of Illinois at Urbana-Champaign 1977 — 1981
BS, Finance
Steve Tenison's FINRA Experience June 1980 - December 1984
Job VP Sr Compliance Officer at Amherst Advisory & Management LLC
Industry Financial Services
Experience
Amherst Pierpont Securities LLC August 2010 - Present
Amherst Advisory & Management LLC December 2010 - Present
Global Financial Services January 1994 - June 2008
GBM International June 1992 - January 1994
Texas First Securities Corp January 1986 - December 1991
FINRA June 1980 - December 1984
Skills
Securities, Finance, Capital Markets, Trading, Auditing, Internal Audit, AML, Series 7, Hedge Funds, Series 24, FINRA, Fixed Income, Equities, SEC, Series 63
Education
The University of Texas at Austin 1976 — 1979
BBA
Amherst Pierpont Securities LLC August 2010 - Present
Amherst Advisory & Management LLC December 2010 - Present
Global Financial Services January 1994 - June 2008
GBM International June 1992 - January 1994
Texas First Securities Corp January 1986 - December 1991
FINRA June 1980 - December 1984
Skills
Securities, Finance, Capital Markets, Trading, Auditing, Internal Audit, AML, Series 7, Hedge Funds, Series 24, FINRA, Fixed Income, Equities, SEC, Series 63
Education
The University of Texas at Austin 1976 — 1979
BBA
Allen Tang's FINRA Experience May 2010 - August 2010
Job Senior Tax Associate at BDO USA, LLP
Industry Accounting
Experience
BDO USA, LLP October 2013 - May 2015
BDO USA, LLP November 2012 - September 2013
Argy, Wiltse & Robinson, P.C. January 2012 - October 2012
Argy, Wiltse & Robinson, P.C. June 2011 - August 2011
Octagon September 2009 - May 2011
FINRA May 2010 - August 2010
octagon sports agency February 2009 - August 2009
Skills
Tax Compliance, Tax Returns, Income Tax, Tax Preparation, Tax Advisory, Accounting, Corporate Tax
Education
The George Washington University 2011 — 2011
Master, Accountancy
The George Washington University - School of Business 2007 — 2010
BBA, Finance
BDO USA, LLP October 2013 - May 2015
BDO USA, LLP November 2012 - September 2013
Argy, Wiltse & Robinson, P.C. January 2012 - October 2012
Argy, Wiltse & Robinson, P.C. June 2011 - August 2011
Octagon September 2009 - May 2011
FINRA May 2010 - August 2010
octagon sports agency February 2009 - August 2009
Skills
Tax Compliance, Tax Returns, Income Tax, Tax Preparation, Tax Advisory, Accounting, Corporate Tax
Education
The George Washington University 2011 — 2011
Master, Accountancy
The George Washington University - School of Business 2007 — 2010
BBA, Finance
Theresa Ridder, CPA's FINRA Experience 2006 - November 2013
Job Investigator at Consumer Financial Protection Bureau
Industry Security and Investigations
Experience
Consumer Financial Protection Bureau December 2013 - Present
FINRA 2006 - November 2013
Skills
Certified Fraud Examiner, CPA, Fraud, Securities Regulation, Enforcement, Securities, Legal Research, Finance
Education
University of Maryland - Robert H. Smith School of Business 2006 — 2007
The George Washington University
Consumer Financial Protection Bureau December 2013 - Present
FINRA 2006 - November 2013
Skills
Certified Fraud Examiner, CPA, Fraud, Securities Regulation, Enforcement, Securities, Legal Research, Finance
Education
University of Maryland - Robert H. Smith School of Business 2006 — 2007
The George Washington University
Peter Foye, CAMS's FINRA Experience January 2005 - April 2015
Job Manager at PwC AML Advisory
Industry Financial Services
Experience
PwC April 2015 - Present
FINRA January 2005 - April 2015
Skills
Certifiied Anti-Money..., Securities, FINRA, AML, Series 7, Series 24, Securities Regulation, Broker-Dealer, USA PATRIOT Act, OFAC, Financial Services, Capital Markets, Fixed Income, Equities, Anti Money Laundering
Education
University of Miami - School of Business
Bachelor of Business Administration (BBA), Accounting and Finance
London School of Economics and Political Science
Economics
PwC April 2015 - Present
FINRA January 2005 - April 2015
Skills
Certifiied Anti-Money..., Securities, FINRA, AML, Series 7, Series 24, Securities Regulation, Broker-Dealer, USA PATRIOT Act, OFAC, Financial Services, Capital Markets, Fixed Income, Equities, Anti Money Laundering
Education
University of Miami - School of Business
Bachelor of Business Administration (BBA), Accounting and Finance
London School of Economics and Political Science
Economics
Rajasekaran M.R.'s FINRA Experience December 2007 - Present
Job Configuration Manager at Finra
Industry Computer Software
Experience
Finra December 2007 - Present
EDS Dedicated Facility 1995 - 1996
Education
Thiagarajar College of Engineering 1978 — 1983
B.E., Electronics and Communication Engg
Finra December 2007 - Present
EDS Dedicated Facility 1995 - 1996
Education
Thiagarajar College of Engineering 1978 — 1983
B.E., Electronics and Communication Engg
Claire Fleischer's FINRA Experience September 2013 - Present
Job Test Development Editor at FINRA
Industry Writing and Editing
Experience
FINRA September 2013 - Present
The Town Courier February 1999 - August 2013
Freelance December 1992 - June 2013
Culpepper and Associates, Inc., Alpharetta, GA August 1991 - December 1992
MetLife Group Property & Casualty Insurance Co. – Atlanta, GA January 1991 - August 1991
ECP, Inc. d/b/a Domino’s Pizza – Marietta, GA June 1987 - January 1991
Skills
Copy Editing, Writing, Editing, Newspaper, Publications, Proofreading, AP Style, Journalism, Public Relations, Editorial
Education
The University of Georgia 1986 — 1987
ABJ, Cum Laude, Journalism
University of Maryland College Park 1983 — 1985
Journalism
FINRA September 2013 - Present
The Town Courier February 1999 - August 2013
Freelance December 1992 - June 2013
Culpepper and Associates, Inc., Alpharetta, GA August 1991 - December 1992
MetLife Group Property & Casualty Insurance Co. – Atlanta, GA January 1991 - August 1991
ECP, Inc. d/b/a Domino’s Pizza – Marietta, GA June 1987 - January 1991
Skills
Copy Editing, Writing, Editing, Newspaper, Publications, Proofreading, AP Style, Journalism, Public Relations, Editorial
Education
The University of Georgia 1986 — 1987
ABJ, Cum Laude, Journalism
University of Maryland College Park 1983 — 1985
Journalism
Mark Bleich's FINRA Experience November 1995 - Present
Job Principal Investigator at FINRA
Industry Financial Services
Experience
FINRA November 1995 - Present
Maxima Corporation January 1995 - November 1995
U.S. Office of Personnel Management June 1989 - January 1995
Skills
Fraud, Investigations, Compliance, Fraud Investigations, Investigation, Criminal Justice, Private Investigations, Police, Certified Fraud Examiner, Security, Background Checks, Security Clearance, Internal Investigations, Government, Risk Assessment, Policy, Criminal Investigations, Enforcement, Evidence, Surveillance, Securities Regulation, AML
Education
The George Washington University 1991 — 1994
M.A., Criminal Justice
University of Maryland College Park 1985 — 1989
B.A., Criminal Justice
FINRA November 1995 - Present
Maxima Corporation January 1995 - November 1995
U.S. Office of Personnel Management June 1989 - January 1995
Skills
Fraud, Investigations, Compliance, Fraud Investigations, Investigation, Criminal Justice, Private Investigations, Police, Certified Fraud Examiner, Security, Background Checks, Security Clearance, Internal Investigations, Government, Risk Assessment, Policy, Criminal Investigations, Enforcement, Evidence, Surveillance, Securities Regulation, AML
Education
The George Washington University 1991 — 1994
M.A., Criminal Justice
University of Maryland College Park 1985 — 1989
B.A., Criminal Justice
Hassan Maddahian's FINRA Experience June 2010 - June 2013
Job Big Data/Netezza SME at Blue Shield of California
Industry Information Technology and Services
Experience
Blue Shield of California September 2014 - Present
US Securities and Exchange Commission June 2013 - Present
Fannie Mae 2015 - 2015
Fannie Mae 2015 - 2015
FINRA June 2010 - June 2013
Bearingpoint January 2005 - April 2009
Geico, Inc. August 2003 - December 2004
Verizon Communications, Inc. January 2001 - April 2003
Aspen Publishers, Inc. June 2000 - December 2000
Skills
Data Modeling, Data Warehousing, Hadoop, Netezza, Greenplum, Database Design, Enterprise Architecture, ETL, Unix Shell Scripting, Datastage, Linux, Shell Scripting, PostgreSQL, Perl, SDLC, Unix, Oracle, Data Warehouse..., Data Migration, Database Administration, PL/SQL, Performance Tuning, Architectures, Sybase, Big Data, Data Integration, Informatica, SOA, Data Architecture, Databases, DataStage, Architecture
Education
Texas Southern University 1982 — 1986
BS, E.E
Blue Shield of California September 2014 - Present
US Securities and Exchange Commission June 2013 - Present
Fannie Mae 2015 - 2015
Fannie Mae 2015 - 2015
FINRA June 2010 - June 2013
Bearingpoint January 2005 - April 2009
Geico, Inc. August 2003 - December 2004
Verizon Communications, Inc. January 2001 - April 2003
Aspen Publishers, Inc. June 2000 - December 2000
Skills
Data Modeling, Data Warehousing, Hadoop, Netezza, Greenplum, Database Design, Enterprise Architecture, ETL, Unix Shell Scripting, Datastage, Linux, Shell Scripting, PostgreSQL, Perl, SDLC, Unix, Oracle, Data Warehouse..., Data Migration, Database Administration, PL/SQL, Performance Tuning, Architectures, Sybase, Big Data, Data Integration, Informatica, SOA, Data Architecture, Databases, DataStage, Architecture
Education
Texas Southern University 1982 — 1986
BS, E.E
Jean Feeney's FINRA Experience January 2000 - January 2009
Job Independent Writing and Editing Professional
Industry Writing and Editing
Experience
FINRA January 2000 - January 2009
NASD (National Association of Securities Dealers, Inc.) (now FINRA) February 1997 - January 2000
Self-Employed January 1988 - January 1997
NASD October 1977 - December 1987
Skills
Legal Writing, Securities, Arbitration, Corporate Law, Mediation, FINRA, Securities Regulation, Commercial Litigation, Financial Regulation, Dispute Resolution, Policy
Education
The George Washington University Law School
JD
University of Missouri
BA, Political Science; English, French and Sociology
FINRA January 2000 - January 2009
NASD (National Association of Securities Dealers, Inc.) (now FINRA) February 1997 - January 2000
Self-Employed January 1988 - January 1997
NASD October 1977 - December 1987
Skills
Legal Writing, Securities, Arbitration, Corporate Law, Mediation, FINRA, Securities Regulation, Commercial Litigation, Financial Regulation, Dispute Resolution, Policy
Education
The George Washington University Law School
JD
University of Missouri
BA, Political Science; English, French and Sociology
Belinda A. Davis's FINRA Experience July 2007 - Present
Job Admin Asst II at FINRA
Industry Financial Services
Experience
FINRA July 2007 - Present
The Beverly Hills Photographer 2010 - 2011
Urban West Developers February 2000 - December 2001
Skills
Research, FINRA, Public Speaking, Microsoft Excel, Project Planning, PowerPoint, Program Management, Customer Service, SEC, Nonprofits, Government, Microsoft Office, Event Planning, Fundraising, Training, Policy, Event Management, Analysis, Leadership, Access, Outlook, Community Outreach, Editing
Education
The University of Akron
University of Phoenix
FINRA July 2007 - Present
The Beverly Hills Photographer 2010 - 2011
Urban West Developers February 2000 - December 2001
Skills
Research, FINRA, Public Speaking, Microsoft Excel, Project Planning, PowerPoint, Program Management, Customer Service, SEC, Nonprofits, Government, Microsoft Office, Event Planning, Fundraising, Training, Policy, Event Management, Analysis, Leadership, Access, Outlook, Community Outreach, Editing
Education
The University of Akron
University of Phoenix
Maureen Brogan's FINRA Experience February 1989 - Present
Job Securities Investigator at FINRA
Industry Financial Services
Experience
FINRA February 1989 - Present
Skills
Securities, Risk Management, Financial Risk, Capital Markets, Risk Assessment, Financial Services, Bloomberg, Program Management, Asset Management, Private Investigations, Security, Hedge Funds, Microsoft Excel, Derivatives, Due Diligence, Leadership, Portfolio Management, Financial Modeling
Education
University of Delaware 1983 — 1987
BS Finance, Finance, General
FINRA February 1989 - Present
Skills
Securities, Risk Management, Financial Risk, Capital Markets, Risk Assessment, Financial Services, Bloomberg, Program Management, Asset Management, Private Investigations, Security, Hedge Funds, Microsoft Excel, Derivatives, Due Diligence, Leadership, Portfolio Management, Financial Modeling
Education
University of Delaware 1983 — 1987
BS Finance, Finance, General
Socrates Geetha's FINRA Experience 2001 - 2009
Job Software Engineer at H.P. Associates, Inc.
Industry Financial Services
Experience
Hewlett-Packard August 2008 - Present
FINRA 2001 - 2009
Electronic Data Systems June 2000 - August 2008
NASD 2004 - 2007
Skills
SOA, Solution Architecture, Web Services, SDLC, Oracle, Requirements Analysis, Software Project..., Agile Methodologies, .NET, ASP.NET, Agile Project Management, C#, Software Development, Business Analysis, Enterprise Architecture, Scrum, WCF, JavaScript, Java, Linux, Software Engineering, OOAD, Design Patterns, ESB, Cloud Computing, Android Development, Ionic Framework, Salesforce.com...
Education
University of Madras 2000 — 2003
Masters, Computer Applications
University of Madras 1997 — 2000
B.Sc, Mathematics
ICF Higher Secondary School 1991 — 1993
ICF Silver Jubilee Matriculation Higher Secondary School 1986 — 1991
Hewlett-Packard August 2008 - Present
FINRA 2001 - 2009
Electronic Data Systems June 2000 - August 2008
NASD 2004 - 2007
Skills
SOA, Solution Architecture, Web Services, SDLC, Oracle, Requirements Analysis, Software Project..., Agile Methodologies, .NET, ASP.NET, Agile Project Management, C#, Software Development, Business Analysis, Enterprise Architecture, Scrum, WCF, JavaScript, Java, Linux, Software Engineering, OOAD, Design Patterns, ESB, Cloud Computing, Android Development, Ionic Framework, Salesforce.com...
Education
University of Madras 2000 — 2003
Masters, Computer Applications
University of Madras 1997 — 2000
B.Sc, Mathematics
ICF Higher Secondary School 1991 — 1993
ICF Silver Jubilee Matriculation Higher Secondary School 1986 — 1991
Bill Swanstrom's FINRA Experience 1995 - Present
Job VP, Industry Liaison at FINRA
Industry Financial Services
Experience
FINRA 1995 - Present
Financial Industry Regulatory Authority (formerly known as NASD) 1995 - Present
Skills
Change Management, Securities, FINRA, Leadership, Investments, Analysis, Series 7, Financial Services, Executive Management, Risk Management, Mutual Funds, Series 63, Program Management, Due Diligence, Vendor Management, Strategy, Series 24, Mergers & Acquisitions, Securities Regulation, Portfolio Management, Equities
Education
Towson University 1991 — 1993
BS, Political Science
FINRA 1995 - Present
Financial Industry Regulatory Authority (formerly known as NASD) 1995 - Present
Skills
Change Management, Securities, FINRA, Leadership, Investments, Analysis, Series 7, Financial Services, Executive Management, Risk Management, Mutual Funds, Series 63, Program Management, Due Diligence, Vendor Management, Strategy, Series 24, Mergers & Acquisitions, Securities Regulation, Portfolio Management, Equities
Education
Towson University 1991 — 1993
BS, Political Science
miguel bustillo's FINRA Experience ProgrammerPinkerton Computer ConsultantsMarch 1977 - July 1979
Job Program Manager at FINRA
Industry Financial Services
Experience
FINRA ProgrammerPinkerton Computer ConsultantsMarch 1977 - July 1979
Education
The George Washington University 1972 — 1976
BA, Economics
FINRA ProgrammerPinkerton Computer ConsultantsMarch 1977 - July 1979
Education
The George Washington University 1972 — 1976
BA, Economics
Karen Moloney's FINRA Experience 2006 - 2009
Job Vice President, Compliance Manager at JPMorgan Chase
Industry Banking
Experience
JPMorgan Chase September 2011 - Present
Federal Reserve Bank of Chicago August 2009 - September 2011
FINRA 2006 - 2009
Skills
AML, USA PATRIOT Act, Fraud, Bank Secrecy Act, OFAC, FINRA, Auditing, System Testing, Investigation, Due Diligence, Finance, Financial Services, Risk Management, Securities, Sanction, Financial Regulation, Banking, Financial Risk, Operational Risk, Internal Audit, Enterprise Risk..., Risk Assessment, Anti Money Laundering
Education
University of Cincinnati 1999 — 2003
Bachelor of Science, Criminal Justice
University of Cincinnati 1999 — 2003
Bachelor of Science (B.S.), Criminal Justice and Corrections
JPMorgan Chase September 2011 - Present
Federal Reserve Bank of Chicago August 2009 - September 2011
FINRA 2006 - 2009
Skills
AML, USA PATRIOT Act, Fraud, Bank Secrecy Act, OFAC, FINRA, Auditing, System Testing, Investigation, Due Diligence, Finance, Financial Services, Risk Management, Securities, Sanction, Financial Regulation, Banking, Financial Risk, Operational Risk, Internal Audit, Enterprise Risk..., Risk Assessment, Anti Money Laundering
Education
University of Cincinnati 1999 — 2003
Bachelor of Science, Criminal Justice
University of Cincinnati 1999 — 2003
Bachelor of Science (B.S.), Criminal Justice and Corrections
John C. Crittenden, III's FINRA Experience 1984 - 2012
Job Chief Operating Officer / Chief Compliance Officer at FTI Capital Advisors
Industry Financial Services
Experience
FTI Capital Advisors, LLC January 2005 - Present
Surge Trading August 2011 - February 2012
FINRA 1984 - 2012
Marsh & McLennan, Inc October 2000 - May 2004
MMC Securities (formerly Marsh Insurance & Investments Corp) January 1995 - May 2004
Skills
Hedge Funds, FINRA, Trading, SEC, Securities, AML, Equities, Due Diligence, Private Equity, Capital Markets, Risk Management, Investments, Investment Banking, Derivatives, Litigation, Corporate Governance, Financial Analysis, Mergers, Corporate Finance, Options, Financial Services, Mutual Funds, Restructuring, Asset Management, Alternative Investments, Mergers & Acquisitions
Education
University of Pennsylvania - The Wharton School 2001 — 2003
CRCP, Securities Law
University of Maryland - Robert H. Smith School of Business 1981 — 1983
B.S., Business Managment
Potomac Senior High
Business Management, Business Administration and Management, General
FTI Capital Advisors, LLC January 2005 - Present
Surge Trading August 2011 - February 2012
FINRA 1984 - 2012
Marsh & McLennan, Inc October 2000 - May 2004
MMC Securities (formerly Marsh Insurance & Investments Corp) January 1995 - May 2004
Skills
Hedge Funds, FINRA, Trading, SEC, Securities, AML, Equities, Due Diligence, Private Equity, Capital Markets, Risk Management, Investments, Investment Banking, Derivatives, Litigation, Corporate Governance, Financial Analysis, Mergers, Corporate Finance, Options, Financial Services, Mutual Funds, Restructuring, Asset Management, Alternative Investments, Mergers & Acquisitions
Education
University of Pennsylvania - The Wharton School 2001 — 2003
CRCP, Securities Law
University of Maryland - Robert H. Smith School of Business 1981 — 1983
B.S., Business Managment
Potomac Senior High
Business Management, Business Administration and Management, General
Chad Latawiec's FINRA Experience January 2010 - May 2010
Job Real Estate Financial Analyst at GSA
Industry Financial Services
Experience
GSA August 2013 - Present
GSA August 2011 - August 2013
KPMG January 2011 - June 2011
Federal Trade Commission May 2010 - December 2010
FINRA January 2010 - May 2010
George Washington University September 2008 - March 2010
PNC Financial Services Group May 2008 - August 2009
Aflac February 2009 - May 2009
Gap Inc. February 2007 - August 2008
Skills
Analysis, Training, Management, Strategy, Data Analysis, Financial Analysis, Budgets, Human Resources, Accounting, Policy, Managerial Finance, Marketing, Spanish, Financial Accounting, Finance, Facebook, Sales, Tax, Account Reconciliation, PowerPoint
Education
The George Washington University - School of Business 2007 — 2011
Bachelor of Business Administration, International Business with minors in Spanish and Economics, 3.71 GPA
Universidad Autónoma de Madrid 2009 — 2009
Business & Economics Focus
GSA August 2013 - Present
GSA August 2011 - August 2013
KPMG January 2011 - June 2011
Federal Trade Commission May 2010 - December 2010
FINRA January 2010 - May 2010
George Washington University September 2008 - March 2010
PNC Financial Services Group May 2008 - August 2009
Aflac February 2009 - May 2009
Gap Inc. February 2007 - August 2008
Skills
Analysis, Training, Management, Strategy, Data Analysis, Financial Analysis, Budgets, Human Resources, Accounting, Policy, Managerial Finance, Marketing, Spanish, Financial Accounting, Finance, Facebook, Sales, Tax, Account Reconciliation, PowerPoint
Education
The George Washington University - School of Business 2007 — 2011
Bachelor of Business Administration, International Business with minors in Spanish and Economics, 3.71 GPA
Universidad Autónoma de Madrid 2009 — 2009
Business & Economics Focus
Igor Elkun's FINRA Experience February 2010 - Present
Job Business Analyst at FINRA
Industry Financial Services
Experience
FINRA February 2010 - Present
Education
University of Maryland College Park
FINRA February 2010 - Present
Education
University of Maryland College Park
Andrea Calve's FINRA Experience January 2000 - Present
Job Attorney
Industry Legal Services
Experience
Calve Law, PC. September 2010 - Present
FINRA January 2000 - Present
U.S. Small Business Administration January 2006 - February 2012
North Texas Mutual Group February 1996 - July 2010
Corban Communications, Inc. 2000 - 2005
Western New Mexico State University May 2004 - December 2004
Skills
Legal Research, Legal Writing, Litigation, Mediation, Commercial Litigation, Civil Litigation, Arbitration, Bankruptcy, Westlaw, Trials, Employment Law, Intellectual Property, Legal Assistance, Securities Regulation, Corporate Governance, Litigation Support, Legal Advice, Document Review, Contract Negotiation, Mergers & Acquisitions
Education
J.D., law
B.A., Philosophy
Calve Law, PC. September 2010 - Present
FINRA January 2000 - Present
U.S. Small Business Administration January 2006 - February 2012
North Texas Mutual Group February 1996 - July 2010
Corban Communications, Inc. 2000 - 2005
Western New Mexico State University May 2004 - December 2004
Skills
Legal Research, Legal Writing, Litigation, Mediation, Commercial Litigation, Civil Litigation, Arbitration, Bankruptcy, Westlaw, Trials, Employment Law, Intellectual Property, Legal Assistance, Securities Regulation, Corporate Governance, Litigation Support, Legal Advice, Document Review, Contract Negotiation, Mergers & Acquisitions
Education
J.D., law
B.A., Philosophy
Sherell Fuller's FINRA Experience January 2008 - Present
Job Research Analyst at FINRA
Industry Financial Services
Experience
FINRA January 2008 - Present
Washington Area Women's Foundation January 2007 - January 2008
Alderson Court Reporting July 2007 - December 2007
Columbia Lighthouse for the Blind June 2007 - July 2007
University of Maryland Student Financial Aid Office September 2005 - May 2006
U.S. Department of Homeland Security June 2005 - August 2005
Skills
Research, Non-profits, Analysis, Event Planning, Microsoft Office
Education
University of Maryland College Park 2002 — 2006
Bachelor's Degree, Communication
FINRA January 2008 - Present
Washington Area Women's Foundation January 2007 - January 2008
Alderson Court Reporting July 2007 - December 2007
Columbia Lighthouse for the Blind June 2007 - July 2007
University of Maryland Student Financial Aid Office September 2005 - May 2006
U.S. Department of Homeland Security June 2005 - August 2005
Skills
Research, Non-profits, Analysis, Event Planning, Microsoft Office
Education
University of Maryland College Park 2002 — 2006
Bachelor's Degree, Communication
Max Tanzer's FINRA Experience July 2010 - December 2010
Job Investigative/Administrative Assistant
Industry Financial Services
Experience
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
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
Denise Evans, Esq.'s FINRA Experience April 1995 - June 2001
Job Chief Compliance Officer at Stonnington Group, LLC
Industry Financial Services
Experience
Stonnington Group, LLC April 2013 - Present
Antaeus Capital Inc. August 2008 - April 2013
Associated Securities Corp August 2005 - June 2008
Associated Planners Investment Advisory January 2005 - June 2008
Associated Securities Corp June 2001 - August 2005
FINRA April 1995 - June 2001
Skills
Broker-Dealer, Investment Advisory, Investment Banking, Securities, Securities Regulations..., Investment Advisory..., FINRA, Series 24, SEC, AML, Mutual Funds, Series 7, USA PATRIOT Act, Hedge Funds
Education
UCLA School of Law 1982 — 1985
Juris Doctor, Law
Wellesley College 1978 — 1982
BA, Political Science
John F. Kennedy High School
Stonnington Group, LLC April 2013 - Present
Antaeus Capital Inc. August 2008 - April 2013
Associated Securities Corp August 2005 - June 2008
Associated Planners Investment Advisory January 2005 - June 2008
Associated Securities Corp June 2001 - August 2005
FINRA April 1995 - June 2001
Skills
Broker-Dealer, Investment Advisory, Investment Banking, Securities, Securities Regulations..., Investment Advisory..., FINRA, Series 24, SEC, AML, Mutual Funds, Series 7, USA PATRIOT Act, Hedge Funds
Education
UCLA School of Law 1982 — 1985
Juris Doctor, Law
Wellesley College 1978 — 1982
BA, Political Science
John F. Kennedy High School
Anosh Vatcha's FINRA Experience May 2011 - September 2014
Job Management Consultant | Data Analytics | Data Mining | Project Management
Industry Financial Services
Experience
Grant Thornton LLP September 2014 - Present
FINRA May 2011 - September 2014
FINRA June 2005 - May 2011
Bank of America January 2004 - May 2005
Skills
Data Analysis, Business Analysis, Analytics, Data Mining, IBM SPSS, SAS, Management Consulting, R Statistical Software, Microsoft Excel, Microsoft Access, Excel Solver, Crystal Ball Software, Assess Software, Analysis, Microsoft Office, Microsoft Word, Securities Regulation, Multiple Linear..., Logistic Regression, Financial Reporting, Familiarity with Hindi., U.S. Capital Market..., Policy, Strategy, SPSS, Management, Consulting, Business Development
Education
The George Washington University - School of Business 2012 — 2014
Certification in Business Analytics
University of Maryland College Park 1998 — 2002
Bachelor of Arts, Economics
Grant Thornton LLP September 2014 - Present
FINRA May 2011 - September 2014
FINRA June 2005 - May 2011
Bank of America January 2004 - May 2005
Skills
Data Analysis, Business Analysis, Analytics, Data Mining, IBM SPSS, SAS, Management Consulting, R Statistical Software, Microsoft Excel, Microsoft Access, Excel Solver, Crystal Ball Software, Assess Software, Analysis, Microsoft Office, Microsoft Word, Securities Regulation, Multiple Linear..., Logistic Regression, Financial Reporting, Familiarity with Hindi., U.S. Capital Market..., Policy, Strategy, SPSS, Management, Consulting, Business Development
Education
The George Washington University - School of Business 2012 — 2014
Certification in Business Analytics
University of Maryland College Park 1998 — 2002
Bachelor of Arts, Economics
Amy Tzou's FINRA Experience 2000 - 2009
Job Information Technology and Services Professional
Industry Information Technology and Services
Experience
Freddie Mac (MHA-Compliance) 2010 - Present
Finra 2000 - 2009
Skills
SDLC, PMO, PMP, Release Management, Vendor Management, Requirements Gathering, Agile Project Management, Requirements Analysis, Project Portfolio..., Program Management, Business Analysis, Software Project..., Business Process..., Business Process, Business Intelligence, IT Strategy, Integration, Leadership, Strategy, CRM, Visio
Education
University of Maryland College Park
BS, Consumer Economics
Freddie Mac (MHA-Compliance) 2010 - Present
Finra 2000 - 2009
Skills
SDLC, PMO, PMP, Release Management, Vendor Management, Requirements Gathering, Agile Project Management, Requirements Analysis, Project Portfolio..., Program Management, Business Analysis, Software Project..., Business Process..., Business Process, Business Intelligence, IT Strategy, Integration, Leadership, Strategy, CRM, Visio
Education
University of Maryland College Park
BS, Consumer Economics
William Szanzer's FINRA Experience May 2011 - April 2012
Job Staff EY Human Capital, Global Equity
Industry Capital Markets
Experience
EY October 2013 - Present
Deloitte June 2012 - August 2012
FINRA May 2011 - April 2012
Hon. Judge Martin Ritholtz July 2010 - August 2010
HUD 2007 - 2008
Skills
Legal Research, Tax, Legal Writing, Corporate Tax, Corporate Law, International Tax, Analysis, Economics, Due Diligence, Employee Stock Options, Restricted Stock, Tax Law, Financial Services, Compliance, Executive Compensation..., Equity Plans
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.), Law
University of Maryland Baltimore County 2007 — 2009
B.A., Economics
EY October 2013 - Present
Deloitte June 2012 - August 2012
FINRA May 2011 - April 2012
Hon. Judge Martin Ritholtz July 2010 - August 2010
HUD 2007 - 2008
Skills
Legal Research, Tax, Legal Writing, Corporate Tax, Corporate Law, International Tax, Analysis, Economics, Due Diligence, Employee Stock Options, Restricted Stock, Tax Law, Financial Services, Compliance, Executive Compensation..., Equity Plans
Education
The George Washington University Law School 2010 — 2013
Doctor of Law (J.D.), Law
University of Maryland Baltimore County 2007 — 2009
B.A., Economics
Colleen Durbin's FINRA Experience September 2010 - Present
Job Assistant General Counsel Office of General Counsel at FINRA
Industry Financial Services
Experience
FINRA September 2010 - Present
Education
The Catholic University of America, Columbus School of Law 2001 — 2004
Doctor of Law (JD)
University of Virginia 1994 — 1998
Bachelor of Arts (B.A.)
Georgetown Visitation 1990 — 1994
FINRA September 2010 - Present
Education
The Catholic University of America, Columbus School of Law 2001 — 2004
Doctor of Law (JD)
University of Virginia 1994 — 1998
Bachelor of Arts (B.A.)
Georgetown Visitation 1990 — 1994
Christine Hoffmann's FINRA Experience 2002 - 2007
Job VP, Markets Compliance at HSBC Securities
Industry Banking
Experience
HSBC Securities December 2013 - Present
Newedge August 2012 - December 2013
RBS November 2010 - August 2012
BGC Partners January 2010 - October 2010
Cantor Fitzgerald July 2008 - October 2010
Needham & Company July 2007 - June 2008
FINRA 2002 - 2007
National Stock Exchange 2002 - 2005
Skills
Securities, Series 7, Series 63, Trading, Bloomberg, Equities, FINRA, Equity Trading, AML, Alternative Investments, Bonds, Capital Markets, Electronic Trading, ETFs, Equity Derivatives, FX Options, Financial Markets, Financial Services, Fixed Income, Hedge Funds, Market Data, Investment Banking, Options, Series 24, Structured Products, Trading Systems, Derivatives
Education
University of Illinois at Urbana-Champaign - College of Business
B.S, Finance
HSBC Securities December 2013 - Present
Newedge August 2012 - December 2013
RBS November 2010 - August 2012
BGC Partners January 2010 - October 2010
Cantor Fitzgerald July 2008 - October 2010
Needham & Company July 2007 - June 2008
FINRA 2002 - 2007
National Stock Exchange 2002 - 2005
Skills
Securities, Series 7, Series 63, Trading, Bloomberg, Equities, FINRA, Equity Trading, AML, Alternative Investments, Bonds, Capital Markets, Electronic Trading, ETFs, Equity Derivatives, FX Options, Financial Markets, Financial Services, Fixed Income, Hedge Funds, Market Data, Investment Banking, Options, Series 24, Structured Products, Trading Systems, Derivatives
Education
University of Illinois at Urbana-Champaign - College of Business
B.S, Finance
Nirmala Bethinapatla's FINRA Experience March 2011 - March 2012
Job Application Quality Analyst III at Fannie Mae
Industry Information Technology and Services
Experience
Fannie Mae March 2014 - Present
Fannie Mae March 2012 - Present
FINRA March 2011 - March 2012
FannieMae February 2006 - December 2010
Freddie Mac November 2004 - January 2006
Hexaware Technologies May 2003 - November 2004
Crunchy Technologies July 2000 - May 2003
Skills
SAS, Intellij IDEA, Quality Center, SDLC, Software Quality..., User Acceptance Testing, Test Planning, Unix, Testing, QTP, Requirements Analysis, Oracle, SQL, Test Automation, Perl, Java
Education
University of Madras 1995 — 1998
MCA, Computers, Accounts, Economics
Fannie Mae March 2014 - Present
Fannie Mae March 2012 - Present
FINRA March 2011 - March 2012
FannieMae February 2006 - December 2010
Freddie Mac November 2004 - January 2006
Hexaware Technologies May 2003 - November 2004
Crunchy Technologies July 2000 - May 2003
Skills
SAS, Intellij IDEA, Quality Center, SDLC, Software Quality..., User Acceptance Testing, Test Planning, Unix, Testing, QTP, Requirements Analysis, Oracle, SQL, Test Automation, Perl, Java
Education
University of Madras 1995 — 1998
MCA, Computers, Accounts, Economics
Julie Lenaghan's FINRA Experience
Job Principal Counsel at FINRA
Industry Financial Services
Experience
FINRA
Skills
Securities Regulation, AML, FINRA, Securities, Fraud
Education
The Catholic University of America, Columbus School of Law
FINRA
Skills
Securities Regulation, AML, FINRA, Securities, Fraud
Education
The Catholic University of America, Columbus School of Law
Ali Ehsani's FINRA Experience December 2007 - Present
Job Investment Analyst at FINRA
Industry Nonprofit Organization Management
Experience
FINRA December 2007 - Present
FINRA June 2005 - December 2007
BCE Emergis 2003 - 2004
Skills
Financial Analysis, Corporate Finance
Education
The Johns Hopkins University 2001 — 2003
MBA, General/Finance
University of Maryland College Park 1995 — 2000
BS, Finance
FINRA December 2007 - Present
FINRA June 2005 - December 2007
BCE Emergis 2003 - 2004
Skills
Financial Analysis, Corporate Finance
Education
The Johns Hopkins University 2001 — 2003
MBA, General/Finance
University of Maryland College Park 1995 — 2000
BS, Finance
Jason Tripp's FINRA Experience January 2000 - May 2003
Job Director of Compliance & Enterprise Risk Management at PENSCO Trust Company
Industry Financial Services
Experience
PENSCO Trust Company July 2013 - Present
Belvedere Advisors LLC May 2006 - Present
VWM Insurance Services January 2013 - July 2013
Livevol Securities January 2013 - July 2013
Westhoff, Cone & Holmstedt January 2009 - July 2013
Sutter Securities Incorporated September 2008 - July 2013
Burrill Merchant Advisors Group May 2006 - July 2013
Continental Investor Services 2012 - 2013
Atlas Securities 2003 - 2004
FINRA January 2000 - May 2003
Skills
FINRA, AML, Investment Advisory, Securities, Hedge Funds, Compliance, Securities Regulation, Series 24, Options, USA PATRIOT Act, BSA, Equities, Fixed Income, OFAC, Regulatory Risk, KYC, Bank Secrecy Act, Series 7, Due Diligence, Derivatives, Regulatory Reporting, Series 63, Mutual Funds, Compliance Management, Compliance Audits, SEC reporting, Corporate Governance, Sanctions, Series 3, Executive Management, Private Placements, ERISA, Fraud, Ethics, Alternative Investments, Operational Risk, Risk, Asset Management, Enterprise Risk..., Risk Management, Internal Audit, Capital Markets, Privacy, Internal Investigations, Corporate Finance, Mergers, Investments, Trading, Research Analyst
Education
University of Arizona 1993 — 1997
Bachelors, Accounting
University of Arizona
Accounting, Accounting
PENSCO Trust Company July 2013 - Present
Belvedere Advisors LLC May 2006 - Present
VWM Insurance Services January 2013 - July 2013
Livevol Securities January 2013 - July 2013
Westhoff, Cone & Holmstedt January 2009 - July 2013
Sutter Securities Incorporated September 2008 - July 2013
Burrill Merchant Advisors Group May 2006 - July 2013
Continental Investor Services 2012 - 2013
Atlas Securities 2003 - 2004
FINRA January 2000 - May 2003
Skills
FINRA, AML, Investment Advisory, Securities, Hedge Funds, Compliance, Securities Regulation, Series 24, Options, USA PATRIOT Act, BSA, Equities, Fixed Income, OFAC, Regulatory Risk, KYC, Bank Secrecy Act, Series 7, Due Diligence, Derivatives, Regulatory Reporting, Series 63, Mutual Funds, Compliance Management, Compliance Audits, SEC reporting, Corporate Governance, Sanctions, Series 3, Executive Management, Private Placements, ERISA, Fraud, Ethics, Alternative Investments, Operational Risk, Risk, Asset Management, Enterprise Risk..., Risk Management, Internal Audit, Capital Markets, Privacy, Internal Investigations, Corporate Finance, Mergers, Investments, Trading, Research Analyst
Education
University of Arizona 1993 — 1997
Bachelors, Accounting
University of Arizona
Accounting, Accounting
Debra Pohlson's FINRA Experience September 2008 - January 2014
Job Lead Trainer at FINRA
Industry Financial Services
Experience
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
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
Frank Del Vecchio's FINRA Experience 1986 - 2006
Job COMPLIANCE
Industry Financial Services
Experience
FINRA 1986 - 2006
Skills
Fixed Income, Microsoft Office, Capital Markets, Process Improvement, Customer Service, Risk Management, Equities, Business Development, Portfolio Management, Investments, Financial Risk, Leadership, Financial Analysis, Management, Financial Services, Strategic Planning, Business Analysis
Education
University of Baltimore
Business Administration and Management, General
FINRA 1986 - 2006
Skills
Fixed Income, Microsoft Office, Capital Markets, Process Improvement, Customer Service, Risk Management, Equities, Business Development, Portfolio Management, Investments, Financial Risk, Leadership, Financial Analysis, Management, Financial Services, Strategic Planning, Business Analysis
Education
University of Baltimore
Business Administration and Management, General
Grace Folsom's FINRA Experience December 1999 - September 2012
Job Retired Business Analyst from FINRA
Industry Information Technology and Services
Erol Murat Oztan's FINRA Experience May 2010 - May 2014
Job Manager Advisory at KPMG
Industry Financial Services
Experience
KPMG May 2014 - Present
FINRA May 2010 - May 2014
DeMatteo Monness LLC 2007 - 2010
First Data Commercial Services 2005 - 2007
Mann Bracken LLC 2004 - 2005
Norman Smith, C.P.A. P.C. 2001 - 2004
Skills
FINRA, Financial Services, Securities, Analysis, Capital Markets, Data Analysis, Equities, Finance, Financial Analysis, Financial Modeling, Fixed Income, Forecasting, Banking, Corporate Finance, Hedge Funds, Investment Banking, Investments, Microsoft Excel, Microsoft Office, Outlook, PowerPoint, Strategic Planning
Education
State University of New York at Buffalo
Bachelor of Arts (BA)
University of South Carolina - The Moore School of Business
Master of Business Administration (MBA)
KPMG May 2014 - Present
FINRA May 2010 - May 2014
DeMatteo Monness LLC 2007 - 2010
First Data Commercial Services 2005 - 2007
Mann Bracken LLC 2004 - 2005
Norman Smith, C.P.A. P.C. 2001 - 2004
Skills
FINRA, Financial Services, Securities, Analysis, Capital Markets, Data Analysis, Equities, Finance, Financial Analysis, Financial Modeling, Fixed Income, Forecasting, Banking, Corporate Finance, Hedge Funds, Investment Banking, Investments, Microsoft Excel, Microsoft Office, Outlook, PowerPoint, Strategic Planning
Education
State University of New York at Buffalo
Bachelor of Arts (BA)
University of South Carolina - The Moore School of Business
Master of Business Administration (MBA)
Chris Neidlinger's FINRA Experience April 2013 - October 2014
Job Chief Compliance Officer, Frost Brokerage
Industry Financial Services
Experience
Frost Brokerage Services October 2014 - Present
FINRA April 2013 - October 2014
Fidelity Investments/National Financial Services 2011 - 2013
FINRA 2005 - 2011
NASDAQ 2003 - 2005
T. Rowe Price 1997 - 2003
Skills
Securities Regulation, Securities, Series 24, FINRA, AML, Financial Regulation, Series 7, Mutual Funds, Fraud, Equities, Capital Markets, Options, Investments, Financial Risk, Hedge Funds
Education
University of Baltimore 1998 — 2000
Master of Business Administration (MBA), Finance and Financial Management Services
Tulane University
University of Central Florida
Bachelor of Science (B.S.), Finance
Frost Brokerage Services October 2014 - Present
FINRA April 2013 - October 2014
Fidelity Investments/National Financial Services 2011 - 2013
FINRA 2005 - 2011
NASDAQ 2003 - 2005
T. Rowe Price 1997 - 2003
Skills
Securities Regulation, Securities, Series 24, FINRA, AML, Financial Regulation, Series 7, Mutual Funds, Fraud, Equities, Capital Markets, Options, Investments, Financial Risk, Hedge Funds
Education
University of Baltimore 1998 — 2000
Master of Business Administration (MBA), Finance and Financial Management Services
Tulane University
University of Central Florida
Bachelor of Science (B.S.), Finance
Poornima Venkatakrishnan's FINRA Experience 2015 - 2015
Job Software engineer
Industry Computer Software
Experience
FINRA 2015 - 2015
Riverbed Technology 2013 - 2013
CGIS, Towson University March 2012 - December 2012
KCI Technologies, Inc. March 2012 - August 2012
Towson University January 2012 - May 2012
Cognizant Technology Solutions June 2007 - December 2009
Skills
Java, C++, C, Ruby on Rails, JavaScript, Python, jQuery, Oracle, PL/SQL, Microsoft SQL Server, SQL, XML, JSON, Linux, Unix, MySQL, .NET, Sencha, Ext JS, CSS, Databases
Education
Towson University 2011 — 2012
Master of Science (M.S.), Computer Science
Mepco Schlenk Engineering College, Anna University 2003 — 2007
Bachelors in Engineering, Electronics and Communications Engineering
FINRA 2015 - 2015
Riverbed Technology 2013 - 2013
CGIS, Towson University March 2012 - December 2012
KCI Technologies, Inc. March 2012 - August 2012
Towson University January 2012 - May 2012
Cognizant Technology Solutions June 2007 - December 2009
Skills
Java, C++, C, Ruby on Rails, JavaScript, Python, jQuery, Oracle, PL/SQL, Microsoft SQL Server, SQL, XML, JSON, Linux, Unix, MySQL, .NET, Sencha, Ext JS, CSS, Databases
Education
Towson University 2011 — 2012
Master of Science (M.S.), Computer Science
Mepco Schlenk Engineering College, Anna University 2003 — 2007
Bachelors in Engineering, Electronics and Communications Engineering
Amy Diamond's FINRA Experience 2012 - Present
Job HR Professional
Industry Human Resources
Experience
FINRA 2012 - Present
New York Presbyterian Hospital November 2009 - October 2011
Ernst & Young March 2007 - November 2008
Washington Mutual 2002 - 2007
Education
SUNY at Buffalo
BA, Communications
FINRA 2012 - Present
New York Presbyterian Hospital November 2009 - October 2011
Ernst & Young March 2007 - November 2008
Washington Mutual 2002 - 2007
Education
SUNY at Buffalo
BA, Communications
Arian Talehakimi's FINRA Experience April 2014 - Present
Job Examiner at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
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) 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
Allen Wisniewski's FINRA Experience 2013 - Present
Job Arbitrator at FINRA
Industry Investment Management
Experience
FINRA 2013 - Present
Education
University of California, Los Angeles
BA Economics and MBA, Economics and Finance
FINRA 2013 - Present
Education
University of California, Los Angeles
BA Economics and MBA, Economics and Finance
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
Amnesty International