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.
FINRA List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at FINRA. You can filter them based on skills, years of employment, job, education, department, and prior employment.
FINRA Salaries. You can even request information on how much does FINRA pay if you want to. Learn about salaries, pros and cons of working for FINRA directly from the past employees.
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975 FINRA employees in database. Find out everything there's to know about FINRA employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.
FINRA Employees
NCI, Inc. January 2015 - Present
Coincident, Inc. April 2004 - Present
Morelli Guitars January 2010 - March 2015
Computech, Inc. January 2012 - December 2014
bimmers.com, inc. February 1997 - December 2014
9starts July 2010 - June 2012
FINRA October 2005 - April 2010
FGM, Inc. January 2001 - January 2004
FGM, Inc. February 1998 - January 2001
TigerTeams October 1997 - January 1998
Skills
Enterprise Architecture, Product Development, Agile, Software Development, Start-ups, Change Management, Strategic Planning, Talent Acquisition, SDLC, Scrum, Agile Methodologies, Program Management, Software Project..., Business Intelligence, Project Management, Unix, Requirements Analysis, Software Engineering, Process Improvement, Testing, Architecture, Integration, Leadership, Management, System Architecture, Web Development, CMMI, Strategy, Quality Assurance, Java, Entrepreneurship, Agile Project Management, Perl, User Experience, SaaS, IT Strategy, SOA, PMO, Web Applications, Cloud Computing, Enterprise Software, Software Design, XML, Web Services, Distributed Systems, Mobile Applications, Scalability, Open Source, Technical Leadership
Education
The College of William and Mary 1984 — 1988
Bachelor of Science (BS)
University of Maryland University College 1989 — 1990
FINRA May 2015 - July 2015
Lone Star Legal Aid May 2014 - August 2014
University of South Carolina February 2011 - June 2013
University of South Carolina 2011 - 2011
Skills
Public Speaking
Education
Washington University in St. Louis - Olin Business School 2015 — 2017
MBA Candidate, Corporate Finance and Investments
Washington University in St. Louis School of Law 2013 — 2017
JD Candidate
University of South Carolina-Columbia 2009 — 2012
Bachelor of Arts (B.A.), History
Canyon Partners September 2014 - Present
Oaktree Capital Mgmt, Wilshire Assoc, Canyon Partners September 2013 - August 2015
Barrington Wilshire January 2012 - September 2013
FINRA August 2005 - February 2011
Bear Stearns February 2000 - February 2004
LA MARATHON LLC 1999 - 2001
Kayne Anderson October 1989 - January 2000
William O'Neil + Co. Inc. 1986 - 1988
Education
University of Southern California
Bachelor of Science, Business Administration
Financial Industry Regulatory Authority August 2011 - Present
FINRA November 2010 - August 2011
Financial Industry Regulatory Authority February 2010 - November 2010
DBC PR+New Media June 2008 - August 2008
Skills
Financial Regulation, Securities, Due Diligence, Equities, Microsoft Excel, Securities Regulation, Financial Analysis
Education
University of Maryland College Park 2005 — 2009
Bachelor of Arts (B.A.), Mass Communication/Media Studies
Florida County Court System March 2011 - Present
Self employed January 2000 - Present
FINRA January 1999 - Present
Indian River County Housing Authority December 2011 - March 2012
New York University April 2004 - December 2007
Fidelity Investments January 1997 - February 2000
Merrill Lynch January 1986 - March 1997
Merrill Lynch & Co January 1986 - January 1997
Arthur Young & Company January 1984 - January 1986
Skills
Due Diligence, Investments, Asset Managment, Valuation, Economics, Capital Markets, Public Speaking, Mergers, Financial Analysis, Arbitration, Litigation, Strategic Planning, Alternative Investments, Research, Portfolio Management, Asset Management, Securities
Education
University of Michigan 1962 — 1966
BA, French
SunTrust Bank November 2013 - Present
SunTrust Bank September 2011 - October 2013
SunTrust Investment Services March 2009 - September 2011
Banc of America Investments April 2001 - April 2009
FINRA October 1996 - July 1999
Skills
SharePoint, SharePoint Designer, InfoPath, Project Planning, Visio, Training, Risk Management, Finance, Securities, Wealth Management, Mutual Funds
Education
University of Maryland University College 1991 — 1993
B.S., Paralegal Studies/Pre-law
University of South Carolina-Columbia 1985 — 1991
B.A., Government/International Studies
Bridgemark Capital and Equipment October 2012 - Present
FINRA 2012 - Present
Bridgemark Capital Group October 1985 - Present
Bridgemark Capital Group October 1985 - December 2011
DeTonty Partners, LLC January 2003 - December 2010
the Life Insurance company October 1985 - November 2010
GMAC RFC, Business Men's Assurance Company October 1985 - November 2010
Bridgemark Capital Group January 2003 - November 2008
cont'd November 1982 - October 1985
General American Life Insurance Company July 1981 - November 1982
Education
University of Missouri-Columbia 1967 — 1971
BS, Economics
Economics University of Missouri
B.S
St. Louis UniversitySt
MBA, Finance
FINRA August 2010 - Present
Bank of America January 2006 - April 2009
MBNA October 2001 - December 2005
Intermap Technologies Corp. January 2001 - June 2001
Nortel Networks January 2000 - December 2000
American Buildings Company February 1999 - March 2000
Skills
Java Enterprise Edition, Unix, Ant, XML, Software Development, Java, JSP, SQL, Linux, Tomcat, Eclipse, Design Patterns, JavaScript, Maven, SDLC, Servlets, Perl, Testing, Visual Basic, Architectures, Microsoft SQL Server, Databases
Education
University of Saskatchewan 1979 — 1983
BE
Clyde Snow July 2013 - Present
The Lebrecht Group, APLC February 2001 - July 2013
FINRA March 2009 - June 2013
Smaller Reporting Company Alliance January 2010 - July 2011
Securities Law Section of Utah State Bar March 2009 - March 2010
Cutler Law Group December 1996 - February 2001
Law Offices of Brian A. Lebrecht December 1995 - December 1996
Federal Home Loan Mortgage Corporation (Freddie Mac) June 1994 - August 1994
Skills
Private Equity, Private Placements, Securities Regulation, Corporate Law, Mergers, Due Diligence, Securities, Corporate Governance, IPO, Venture Capital, Securities Offerings, Securities Fraud, Public Companies, Private Equity Funding, Broker-Dealer, Broker-Dealer Compliance, Going Public, Venture Financing, Start-up Ventures, Reverse Mergers, Corporate Finance, Start-ups
Education
University of San Diego School of Law 1992 — 1995
JD, Law
University of San Diego 1992 — 1995
MBA, Finance
University of San Diego 1987 — 1991
BBA, Business Administration
Citi 1994 - 2012
FINRA January 1988 - May 1994
Skills
Voice and Data..., Business Intelligence..., Project Management, Security Compliance, Network Optimization, Technical Writing, Merger and Acquisition..., Contact Centers, Vendor Management, Risk Management, Business Analysis, Analysis, Software Development, Strategy, Integration, Management, Telecommunications, Security, Enterprise Architecture, Program Management, IT Management, Process Improvement, SDLC, PMP, Data Center, ITIL, Disaster Recovery, IT Strategy, PMO, Outsourcing, Cloud Computing, IT Service Management, Enterprise Software
Education
University of Maryland University College
BS, Information Management Systems
NASDAQ OMX February 2014 - Present
FINRA November 2007 - October 2011
Skills
Microsoft Excel, Microsoft Office, PowerPoint, Customer Service, Microsoft Word, Accounting, Financial Reporting, Sarbanes-Oxley Act, Internal Controls, Non-profits, General Ledger, Sarbanes-Oxley, Accounts Payable, PeopleSoft, Financial Regulation, Financial Modeling
Education
University of Maryland University College
Accounting
State of Maryland December 2011 - Present
FINRA September 2007 - November 2011
IEC Inc April 1993 - September 2007
Sprint Nextel 1992 - 1993
Skills
Agile Methodologies, Business Analysis, SDLC, Securities, Oracle, Requirements Analysis, Enterprise Architecture, IT Strategy, Scrum, Risk Management, SOA, Program Management, Shell Scripting, Data Warehousing, Unix, Perl, Database Design, Solution Architecture, SQL, Disaster Recovery, Software Project..., Virtualization, PL/SQL, Performance Tuning, Solaris, Integration, Weblogic, Cloud Computing, Databases, Process Improvement, Data Modeling, Business Intelligence, Agile Project Management, Software Development, Web Services, Microsoft SQL Server, Java Enterprise Edition, Enterprise Software, XML, WebLogic
Education
University of Maryland University College 1981 — 1986
continuing education, Computer and Information Sciences, General
Brockort State 1975 — 1979
Bachelor's degree, Business Administration/Economics
Smarter Move Talent June 2014 - Present
One Potato Two Potato Productions August 2010 - June 2014
Consultant August 2010 - December 2013
Target July 2009 - May 2010
Smarter Move Staffing January 2005 - January 2010
Lewis and Roca LLP December 2000 - January 2005
FINRA October 1998 - October 2000
Skills
Digital Media recruiting, IT recruiting, Civil and Mechanical..., Human Relations, Equal Opportunities, HR Policies, Employee Relations, Employee Management, Fortune 500, Audience Engagement, Job Evaluation, Job Descriptions, Compensation Planning, Contract Negotiations, Executive Communications, Social Networking, Direct Sales, Open Enrollment, Employment Law, Employee Benefits, Hiring Practices, Retail Management, Retail Industry, Production, Recruiting, Casting, Television, Entertainment, Contract Negotiation, Digital Media, Human Resources, Interviews, Marketing, Social Media, Strategy, Training, Management, Leadership
Education
University of Maryland College Park
Paralegal, Pre-Law
Global Partners LP October 2014 - Present
Enel North America, Inc. May 2011 - October 2014
Digitas May 2009 - May 2011
Travelex August 2006 - May 2009
FINRA November 2002 - August 2006
Education
University of Massachusetts, Amherst 1991 — 1995
BA, Sociology
Mutual Fund Directors Forum 2014 - Present
The Carlyle Group 2013 - 2014
FINRA 2011 - 2013
Skills
Legal Writing, Legal Research, Research, Web Development, Programming, Corporate Law, Analysis, Securities Regulation, Litigation, FINRA, Policy, Securities Litigation, Securities, Courts, Public Speaking, Corporate Governance, Social Media
Education
Chicago-Kent College of Law, Illinois Institute of Technology 2008 — 2011
J.D., cum laude
University of North Carolina at Chapel Hill 2003 — 2007
BA, Political Science, French
TD Securities August 2013 - February 2015
FINRA November 2012 - August 2013
The PrinceRidge Group LLC May 2011 - November 2012
E1 Asset Management INC January 2010 - June 2011
Skills
Financial Reporting, QuickBooks, Partnership Accounting, Hedge Funds, Lacerte, Sales & Use Tax, Accounting Research, Journal Entries, Financial Statements, Microsoft Dynamics SL, Account Reconciliation, Accruals
Education
University of South Florida 2006 — 2009
Bachelor of Science (B.S.), Accounting
CSBS October 2012 - Present
FINRA September 2010 - September 2012
SPS Consulting, LLC September 2010 - November 2011
IQ Solutions June 2010 - August 2010
Discovery Communications January 2010 - May 2010
Upper Crust Bakery September 2006 - May 2010
University of Maryland September 2009 - December 2009
Upper Crust Bakery January 2007 - November 2009
Office of the Comptroller, Maryland January 2009 - May 2009
Upper Crust Bakery September 2007 - February 2008
Skills
Training, PowerPoint, Webinars, Webinar Development, Brainshark, Camtasia, Social Media, Press Releases, Ap Style, Microsoft Word, Microsoft Excel, YouTube, iMIS, Informz, QuestionPro, NICE, SharePoint, Operations Management, Salesforce.com, GoToMeeting, WebEx, Cvent, AP Style, Media Relations
Education
University of Maryland College Park 2006 — 2010
Bachelor of Arts, Communication, Public Relations
Macys October 2000 - Present
Finra January 1999 - Present
Technical Assesement Systems, Inc September 1989 - September 1999
FAO Schwarz October 1990 - September 1998
Skills
Highly motivated..., Strong Communication..., Excellent Customer..., Travel Planning, Expense Management, Organization &..., Executive and Human...
Education
University of Pheonix 2002 — 2009
MBA, Business Management
University of Phoenix
Master of Business Administration (MBA), Business Administration and Management, General
LWT LLC May 2014 - Present
Gaer Consulting Group, LLC January 2009 - Present
Redify Group Inc. May 2014 - Present
Armada Water Assets Inc October 2014 - Present
Hedge Fund Software Company May 2012 - December 2012
FINRA November 2010 - May 2012
New York Mercantile Exchange 2003 - 2008
TradinGear.com & TGFN Holdings 1999 - 2003
Skills
Marketing, Equities, Trading Systems, Electronic Trading, Derivatives, Commodity, Trading, Financial Markets, Risk Management, Capital Markets, Options, Hedge Funds, Market Data, Portfolio Management, Investments, Asset Managment, Securities, Equity Trading, Start-ups, Investment Banking, Fixed Income, Asset Management, Commodity Markets, Trading Strategies, Hedging, FX Options, Private Equity, Alternative Investments, Technical Analysis, Emerging Markets, Bloomberg, Venture Capital, Series 7, Financial Services, Valuation, ETFs, Bonds, FINRA, Investment Strategies, Equity Derivatives, Equity Research, Investment Management
Education
University of Pennsylvania - The Wharton School 1984 — 1988
Bachelor of Science (B.S.), Economics
SoundExchange May 2013 - Present
Ten Mile Square Technologies February 2010 - May 2013
FINRA February 2010 - June 2012
Lakota Technical Solutions June 2007 - February 2010
Lakota Technical Solutions May 2006 - August 2006
Applied Media Analysis January 2006 - February 2006
Atlan Inc. (now SAIC) June 2005 - August 2005
Skills
Hibernate, Spring, Ant, Eclipse, Maven, REST, Java, JUnit, XML, Web Services, Object Oriented Design, Python, SQL, GWT, HTML, JavaScript, Software Development
Education
University of Maryland College Park 2003 — 2007
B.S., Computer Science
QualX Corporation November 2014 - Present
SPARKS January 2012 - November 2014
FINRA October 2011 - December 2011
Bethesda Country Club 2005 - 2010
Skills
SharePoint, Microsoft Exel, Microsoft Word, Leadership, Microsoft Office, Research, Government
Education
University of Maryland College Park 2007 — 2011
Bachelor of Science (BS), Geography
Options Clearing Corporation (OCC) November 2013 - Present
FINRA May 2011 - November 2013
Drug Enforcement Administration March 2010 - May 2011
Kaufman Law Firm November 2009 - May 2011
US Securities and Exchange Commission March 2008 - February 2009
Skills
Securities Law, FINRA, SEC reporting, Corporate Finance, Securities, SEC filings, Litigation, Legal Research, Securities Regulation, Legal Writing, Litigation Management, Trials, Management, Financial Analysis, Litigation Support, Research, Due Diligence, Legal Compliance, Investments, Financial Services, Policy, Analysis, Legal Issues, Civil Litigation, Corporate Law, Legal Assistance, Financial Risk, Dispute Resolution, Accounting, Corporate Governance, Mergers & Acquisitions, Finance, Risk Management, Estate Planning, Westlaw, Strategic Financial..., Arbitration, Commercial Litigation, Licensing, FCPA, Document Review, Employment Law, Mediation, Appeals, Financial Regulation, Lexis, AML, Intellectual Property
Education
University of Missouri-Columbia School of Law 2004 — 2007
Juris Doctor, Law Review
University of Missouri-Columbia, College of Business 2004 — 2007
MBA, Business
University of Missouri 2000 — 2002
Bachelor of Science, Business Administration; Banking and Finance
Cottey College 1997 — 1999
Associate of Art and Associate of Science
FINRA September 2007 - Present
Rydex Investments March 2006 - September 2007
Rydex Investments April 2003 - March 2006
Thomson Financial April 2000 - April 2003
Thomson Financial May 1997 - April 2000
Thomson Financial August 1995 - May 1997
Thomson Financial February 1995 - August 1995
Skills
Database Design, Data Modeling, Databases, SQL, Oracle, Software Development, SDLC, PL/SQL, Unix, XML, Performance Tuning, Software Project..., Project Management, Requirements Analysis, Software Design, Business Intelligence, ETL, Data Warehousing, Agile Methodologies
Education
University of Maryland College Park 1991 — 1993
B.S., Finance
University of Maryland
B.S., Computer and Information Systems
Goldman Sachs January 2012 - Present
Goldman Sachs November 2009 - January 2012
FINRA February 2008 - December 2009
Credit Suisse November 2003 - October 2007
Education
University of Missouri-Columbia
Bachelor of Arts (B.A.)
FINRA May 2014 - Present
Lab49 August 2013 - May 2014
agencyQ October 2012 - August 2013
IBM Interactive 2009 - June 2012
IBM Interactive 2006 - October 2009
Fannie Mae 2004 - 2006
Intuition Studio 2001 - 2004
Skills
Usability Testing, Information Architecture, User Experience, Usability Engineering, User-centered Design, Information Design, Usability, Web Development, Heuristic Evaluation, Strategy, Interaction Design, User Experience Design, User Interface Design, User Interface, Wireframes, Accessibility, Agile Methodologies, Mobile Applications, Web Applications
Education
University of Maryland College Park 1992 — 1996
Bachelor of Arts
FINRA January 2015 - Present
SoundExchange February 2013 - January 2015
FINRA November 2002 - February 2013
iBiquity 2001 - 2001
Digex 2000 - 2000
FOJ Consulting 1999 - 1999
MITRE 1997 - 1998
NASA 1997 - 1997
Booz Allen & Hamilton 1995 - 1997
Skills
Solaris, Enterprise Architecture, Integration, Linux, Requirements Analysis, Unix, Weblogic, Architecture, Agile Methodologies, Java, Cloud Computing, SQL, Data Center, Windows, Virtualization, Disaster Recovery, Solution Architecture, Perl, Tomcat, VMware, Data Warehousing, Troubleshooting, SDLC, System Architecture, Oracle, Networking, Microsoft SQL Server, Databases, TCP/IP, Web Services, Network Security, Web Applications, Scrum, Software Design, IT Strategy, Unix Shell Scripting, Python
Education
University of Maryland College Park 1993 — 1998
Music, Computer Science
FINRA 2003 - 2013
Genuity 2000 - 2002
GTE Internetworking Services 1997 - 2000
BBN/BBN Planet 1995 - 1997
SURAnet 1990 - 1995
Skills
Security, Information Security, PCI DSS, Computer Security, Application Security, CISSP, Vulnerability Assessment, Information Security..., Penetration Testing, Network Security, Networking, Firewalls, Database Security, Disaster Recovery, Unix, Network Engineering, Internet Security, Vulnerability Management, Computer Forensics, ISO 27001, Linux, IDS, TCP/IP, Web Application Security, Virtualization, Network Administration, FISMA, Security Architecture..., IPS, VPN
Education
University of Maryland College Park 1984 — 1990
Computer Science, Philosophy
Finra 2008 - Present
Alta November 2004 - November 2006
Skills
Agile Methodologies, Quality Assurance, Business Analysis, SDLC, Agile Project Management, Business Intelligence, Configuration Management, Databases, Enterprise Architecture, ITIL, Integration, Java, Microsoft SQL Server
Education
University of Maryland University College 2007 — 2009
MBA
FINRA June 2000 - Present
Global Securities Information Inc. 1999 - 2005
The Thomson Corporation 1999 - 2005
Skills
Software Development, Database Design, JavaScript, Information Solutions, Program Management, SharePoint, VB.NET, Requirements Analysis, Agile Methodologies, SDLC, Access, SQL, Visio, Project Management, Databases, XML, .NET, Data Analysis, Analysis, Software Documentation, Management, Business Analysis
Education
University of Maryland University College 2004 — 2006
M.S., Project Management
University of Maryland University College 2001 — 2004
B.S., Information Systems Management
University of Maryland College Park 1996 — 2000
B.S., Economics
Hireworx March 2010 - Present
TSA March 2012 - February 2014
AAMC October 2011 - February 2012
FINRA April 2008 - October 2011
Sprint Nextel July 2007 - April 2008
Marriott International 2006 - 2007
Sprint Nextel April 2004 - June 2006
Titan Secure Solutions December 2003 - April 2004
Sprint Nextel October 2001 - December 2003
Cayenta Inc. July 2000 - September 2001
Skills
Agile Methodologies, Architecture, Architectures, Cloud Computing, Enterprise Architecture, Integration, JMS, Java, Java Enterprise Edition, Oracle, Requirements Analysis, SDLC, SOA, Scrum, Software Development, Software Project..., Solution Architecture, Spring, Web Services, Weblogic
Education
ACTS 1995 — 1995
Diploma, Advanced Computing
University of Pune 1990 — 1994
Bachelor of Engg, Electronics and Telecom
FINRA May 2008 - Present
Lehman Brothers April 2007 - April 2008
NASD February 2005 - May 2007
G & D Trading January 1996 - February 2005
Education
University of Michigan 1987 — 1992
Mechanical Engineering
FINRA July 2008 - Present
TekSytems July 2006 - June 2008
CRAIG/IS 2005 - 2006
Regency Centers July 1999 - April 2004
Skills
Databases, SQL, Business Process, Agile Methodologies, SDLC, Oracle
Education
University of North Florida 1999 — 2003
MPA, Public Administration
West Chester University of Pennsylvania 1991 — 1995
BA, Literature
Bedford High School 1987 — 1990
NCBI April 2012 - Present
Internal Revenue Service September 2011 - February 2012
FINRA December 2009 - August 2011
TheraCom March 2007 - December 2009
Motionsoft June 2003 - March 2007
Education
University of Maryland University College 2006 — 2008
BS, Computer Science
Adkins Arboretum 2014 - Present
ASECA November 2012 - October 2013
MR Consulting, LLC January 2010 - October 2013
The NASDAQ Stock Market LLC October 2000 - December 2009
The NASDAQ Stock Market December 1999 - October 2000
FINRA February 1996 - December 1999
NASD 1996 - 1999
Commodity Futures Trading Commission 1994 - 1996
Debevoise & Plimpton 1993 - 1994
Securities and Exchange Commission 1992 - 1993
Skills
Securities, FINRA, Securities Market, Capital Markets, Equities, Securities Regulation, Options, Financial Markets, Mutual Funds, Due Diligence, Investment Advisory, Broker-Dealer, Equity Trading, Series 7, Hedge Funds, Series 24, ETFs
Education
University of Pittsburgh School of Law 1975 — 1978
Doctor of Law (JD)
University of Vermont 1973 — 1975
BA, English Language and Literature, General
TIAA-CREF February 2006 - Present
FINRA September 1996 - February 2006
US Securities and Exchange Commission September 1991 - September 1996
Education
University of South Carolina-Columbia 1986 — 1990
Thermo Fisher Scientific May 2010 - Present
BNY Mellon May 2006 - May 2010
FINRA 2003 - 2006
Northern Trust 1998 - 2003
Skills
Business Analysis, Management, Risk Management, Analysis, Process Improvement, Financial Modeling, Customer Service, Financial Risk, Portfolio Management, Cross-functional Team...
Education
University of Pittsburgh 2014 — 2016
Master of Science in Information Science
University of Pittsburgh 1992 — 1997
Bachelor’s Degree
FINRA September 2007 - Present
Fidessa April 2006 - September 2007
OnTrade Inc January 2003 - January 2004
ABN AMRO May 2001 - May 2002
ING Barings Furman Selz LLC November 1998 - April 2001
Furman Selz LLC July 1993 - October 1998
Skills
Equity Trading, Equities, Securities, Electronic Trading, Series 63, FINRA, Trading Systems, Fidessa, Trading, Strategy, Capital Markets, Financial Markets, Series 7, Financial Services
Education
University of Pennsylvania - The Wharton School 2008 — 2010
CRCP
University of Pennsylvania - The Wharton School 1989 — 1993
Bachelor of Science in Economics
FINRA October 2011 - Present
Knightpoint Systems July 2010 - October 2011
PBGC February 2006 - July 2010
BAE Systems November 2004 - February 2006
Skills
PMP, Disaster Recovery, Program Management, ITIL, Active Directory, SDLC, SharePoint, Requirements Analysis, IT Service Management
Education
University of Maryland College Park
Trimble Navigation November 2011 - Present
TMA Resources July 2010 - April 2011
3M 2008 - April 2010
3M Health Information Systems March 2008 - April 2009
FINRA 2006 - 2007
Skills
Process Improvement, Requirements Analysis, Agile Methodologies, SDLC, Integration, Software Project..., Configuration Management, Visio, SharePoint, Software Documentation, Testing
Education
University of Maryland College Park 1994 — 1999
Howard County Library August 2010 - Present
Pearl Foundation January 2010 - Present
Indep. Mgmt Consultant October 2009 - June 2010
L3 Communications(Opal) 2010 - 2010
FINRA March 1999 - December 2007
NASA(BS Contractor) September 1994 - February 1996
Education
University of Maryland College Park
B.S.
University of Maryland University College
M.S. ITSM
University of Maryland University College
MBA
FINRA May 2008 - Present
Financial Industry Regulatory Authority May 2008 - Present
Sun Life/Independent Financial Marketing Group, Inc April 2005 - May 2008
IFMG 2005 - 2008
Independent Financial 2005 - 2008
Quick &" Reilly August 2000 - April 2005
Banc of America Investment Services, Inc August 2000 - April 2005
Banc of America Investments 2004 - 2005
Joseph Stevens & Company, Inc January 2000 - June 2000
Skills
Securities, Investments, Asset Managment, Due Diligence, Sales, Microsoft Office, Finance, Customer Service, Workshop Facilitation, Marketing, Quality Control, Policy Analysis, Advertising, Bookkeeping, Assets Recovery, Small Office, Lotus Smartsuite, Mutual Funds, Credit, Insurance
Education
University of Miami 1989 — 1990
M.B.A, Finance
University of Miami - School of Business 1989 — 1990
MBA, Finance
Management University of Miami 1979 — 1983
Master of Business Administration (MBA), Finance, General
University of Miami - School of Business 1979 — 1983
BBA, Management
Financial Industry Regulatory Authority March 2013 - Present
Fannie Mae July 2010 - February 2013
EDS 2006 - July 2010
NASD 2004 - July 2010
HP 2008 - 2010
FINRA 2005 - 2010
EDS, an HP company 2006 - 2008
Marlabs Inc 2004 - 2006
CACI 2004 - 2004
Tata Consultancy Services 1999 - 2004
Skills
Data Warehousing, Requirements Analysis, SDLC, Software Project..., SQL, Solution Architecture, Oracle, Business Analysis, Agile Methodologies, PL/SQL
Education
VJTI 1995 — 1999
Bachelor of Engineering (B.E.), Mechanical Engineering
University of Mumbai 1991 — 1995
Bachelor of Engineering (B.E.), Mechanical E
FINRA 1990 - Present
FINRA (NASD, Inc) 1990 - Present
NASD 1990 - 2007
Skills
FINRA, AML, Risk Management, Financial Analysis, Financial Services, Securities, Mutual Funds, Series 7
Education
University of Nebraska-Lincoln 1979 — 1983
FINRA September 2007 - Present
Maverik Lacrosse, LLC May 2006 - August 2007
Skills
Series 7, Strategic Planning, Equities, Series 63, Mutual Funds, Fixed Income, Securities, Marketing, FINRA, Investments, Microsoft Excel
Education
University of North Carolina at Chapel Hill 2002 — 2006
BA, Communications- Interpersonal and Organizational Communications
Earth Networks January 2015 - Present
Financial Industry Regulatory Authority June 2011 - January 2015
FINRA June 2010 - August 2010
Financial Industry Regulatory Authority (FINRA) May 2009 - December 2009
Skills
Spring, JavaScript, HTML, Java, Eclipse, C#, XML, ASP.NET, Visual Studio
Education
University of Maryland College Park 2007 — 2011
Bachelors, Computer Science
Loyola Blakefield 2003 — 2007
SRA International December 2013 - Present
US Department of Homeland Security via GTM Corp October 2010 - December 2013
FINRA June 2009 - October 2010
Skills
Research, Analysis, Data Analysis, Economics, Enforcement, Federal Government, Government, Microsoft Office, Policy Analysis
Education
University of Maryland College Park 2005 — 2009
Economics, Accounting, Statistics
Morgan Stanley March 2014 - Present
Finra August 2005 - March 2014
Thacher Proffitt & Wood LLP September 2002 - July 2005
Skills
Corporate Law, Securities
Education
Cornell Law School 1999 — 2002
Doctor of Law (JD)
University of San Diego 1994 — 1998
BA, Political Science
Morgan Borszcz Consulting September 2013 - August 2014
VT Group PLC September 2011 - September 2013
Department of Defense - Air Force June 2010 - October 2010
FINRA September 2009 - December 2009
Time Warner May 2008 - September 2008
Skills
Financial Analysis, SharePoint, Microsoft Excel, Stata, Business Acquisition, Supply Chain Management, Economics, Standard Procurement..., Corporate Finance, Program Management, PowerPoint, Contract Negotiation, Management, Negotiation, Procurement, Contract Management, Software Documentation, Microsoft Office, Leadership
Education
Xavier University 2014 — 2016
Master of Business Administration (M.B.A.), Business Administration and Management, General
University of Maryland College Park 2007 — 2011
B.A., Economics
Financial Industry Regulatory Authority June 2011 - Present
FINRA 2004 - May 2011
Verizon Business 2001 - 2004
Education
University of Maryland College Park
Master of Science (M.Sc.), Computer Systems Networking and Telecommunications
FINRA DirectorUSI1998 - 2001
Education
University of Pennsylvania - The Wharton School
Dynex Capital January 2014 - Present
TriSim Inc. February 2013 - December 2013
PHH Corporation September 2010 - February 2013
TriSim Inc. October 2009 - September 2010
Wachovia, A Wells Fargo Company 2006 - 2009
Sunset Financial 2003 - 2006
Freddie Mac 1994 - 2003
FINRA 1993 - 1994
First Investors Corporation 1990 - 1991
Skills
Leadership, Strategic Planning, Stakeholder Engagement, Stakeholder Management, Mortgage Servicing, Securitization, Asset/Liability..., Treasury Management, Fixed Income Portfolio..., Valuation and Analytics, ALM, Risk Management, Portfolio Management, Fixed Income, Capital Markets, Valuation, Investments, Banking, MBS, Asset Managment, ABS, Credit, Financial Risk, Derivatives, Credit Risk, Asset Management
Education
CFA Institute 1994 — 1997
CFA
University of Rochester - Simon Business School 1991 — 1993
MBA
St. Joseph's College of Arts and Sciences 1987 — 1990
B.Sc
Alliance Francaise 1986 — 1990
Diplome de Langue, Superieure
FINRA May 2011 - Present
FINRA September 2007 - May 2011
HealthExtras, Inc June 2005 - September 2007
CatalystRx 2002 - 2007
HealthExtras, Inc June 2002 - June 2005
BCE Emergis eHealth Solutions Group (formerly UP June 2000 - May 2002
United Payors & United Providers (UP January 1998 - May 2000
United Payors & United Providers 1998 - 2000
Skills
Forecasting, Accounts Payable, Accounts Receivable, General Ledger, Budgets, Variance Analysis, Auditing, Payroll, Invoicing, Financial Statements, Analysis, Finance, Financial Analysis, Accruals, Financial Modeling, Process Improvement, Business Analysis, Financial Services, Corporate Finance, Journal Entries
Education
University of Maryland University College
Bachelor of Science, Business Administration
Finra September 2001 - Present
Kelly Services May 1999 - September 2000
Societe General Bank SGBN October 1989 - March 1997
Skills
Software Testing, Requirements Analysis, Agile Testing, SDLC, SQL
Education
University of Maryland University College
Masters, Software Engineering
University of Ife
Bachelor degree in Law (LL.B) Hons, Banking, Corporate, Finance, and Securities Law
FINRA February 1995 - Present
Skills
Financial Analysis, Risk Management, Enterprise Risk..., Internal Audit, Financial Services, Sarbanes-Oxley, Accounting, AML, COSO, Auditing, Management, Internal Controls, Analysis, Sarbanes-Oxley Act, Process Improvement, Financial Reporting, Financial Risk, Securities, Securities Regulation, SEC, Finance
Education
University of South Carolina-Columbia 1982 — 1983
Masters of Accountancy
University of South Carolina-Columbia 1978 — 1982
Bachelor of Science (B.S.), Accounting
J.P. Morgan August 2013 - Present
Volunteer December 2011 - Present
RSM McGladrey, Inc. July 2011 - October 2011
SolomonEdwardsGroup August 2009 - July 2011
FINRA March 2007 - March 2009
PNC Financial Services, Inc., N.A. August 2004 - September 2006
The Vanguard Group June 2000 - August 2003
Skills
Financial Analysis, Risk Management, Investments, Financial Modeling, Finance, Asset Managment, Bloomberg, Portfolio Management, Investment Banking, Analysis, Equities, Fixed Income, Banking, Due Diligence, Auditing, Internal Audit, Internal Controls, Accounting, Access, Budgets, Financial Services, Asset Management, Management, Financial Risk, Securities, Mutual Funds, Leadership, Financial Planning
Education
University of Pittsburgh 2000 — 2004
BSBA, Business Administration/Psychology, Minor: Economics
FINRA October 2014 - Present
FINRA 2010 - October 2014
Ropes & Gray LLP 2002 - 2010
U.S. District Court 2001 - 2002
Skills
Appeals, White Collar Criminal..., Litigation
Education
University of Michigan Law School 1999 — 2001
JD
Vassar College 1992 — 1996
BA, International Studies
FINRA October 2001 - Present
Education
University of Maryland College Park
Business Management
FINRA July 2002 - Present
Jones Walker LLP August 1992 - July 2002
Skills
Securities Regulation, Securities Litigation, Anti Money Laundering, Enforcement, FINRA, Public Speaking, Civil Litigation
Education
Washington and Lee University School of Law 1989 — 1992
Doctor of Law (J.D.), magna cum laude
University of Mississippi 1984 — 1989
Bachelor of Arts (B.A.), English and History, minor in Chemistry, magna cum laude
FINRA 2006 - Present
General Electric Company 1976 - 2004
Skills
Contract Negotiation, Business Strategy, Negotiation, Process Improvement, Strategic Planning, Project Management, New Business Development, Leadership, Public Speaking, Management
Education
University of Pennsylvania
BA CGS 1971
FINRA January 2012 - Present
Realty USA Inc January 2009 - January 2012
Education
University of Portsmouth 1998 — 2002
Bachelor of Arts (B.A.), International Finance and Trade
MSSB June 2014 - Present
Morgan Stanley Smith Barney March 2008 - Present
FINRA May 1999 - March 2008
T Rowe Price 2006 - 2008
T Rowe Price 2006 - 2008
Mutual Contact w/ Joe Lamicela 2000 - 2000
Miscellaneous 2000 - 2000
Education
University of Maryland College Park 1999 — 2002
Master's degree, Finance, General
University of Maryland College Park 1991 — 1995
Bachelor of Business Administration (B.B.A.), Economics
Parkville High School
FINRA 2002 - Present
NASD 1993 - 2002
Electronic Information Systems 1991 - 1993
Micrognosis 1987 - 1991
Skills
Project Management, Management, Big Data, Market Data, Data Warehousing, Financial Markets, SDLC, Enterprise Architecture, IT Strategy
Education
University of New Haven 1984 — 1987
BSEE, Electrical Engineering
Financial Industry Regulatory Authority (FINRA) June 2015 - Present
FINRA October 2011 - June 2015
National Institute of Standards and Technology June 2005 - October 2011
US Government, Department of Health & Human Services, HRSA June 2003 - February 2005
Skills
A+ Certified, Active Directory, Computer Hardware, Troubleshooting, Microsoft Office, System Administration, Operating Systems, Windows, Hardware, Windows Server 2003, Deployment, Testing, Administration, XP, Virtualization, Desktop Support, Problem Solving, Wise, SCCM, SMS, Application Packaging, Microsoft Certified..., Disaster Recovery, Analysis, Windows 7, VMware, Citrix, Project Management, Servers, IIS, SharePoint, Microsoft Exchange, Databases, Visio, Software Documentation, Software Installation, Product Development, Group Policy, BMC Remedy, Microsoft Technologies, Shell Scripting, VMware ESX, Server Administration, VBScript, Incident Management, Hyper-V, OS X, WSUS, Infrastructure, Information Technology
Education
University of Pittsburgh 1998 — 2003
B.A., Economics, Computer Science, Information Science
Conference of State Bank Supervisors January 2014 - Present
FINRA March 2011 - January 2014
Education
University of Maryland College Park 2004 — 2008
Bachelor of Arts (BA), Economics
FINRA May 2011 - Present
Booz Allen Hamilton June 2007 - May 2011
National Academies of Science February 2007 - October 2007
Booz Allen Hamilton June 2000 - February 2007
Skills
Enterprise Architecture, SDLC, Requirements Analysis, Business Analysis, Agile Methodologies, IT Strategy, Program Management, Integration, Process Improvement, SOA, Databases, SQL, Software Project..., Data Warehousing, Database Design, SharePoint, Project Management, Business Intelligence, Analysis, Visio, PMP, Requirements Gathering, Business Process, Software Development, Disaster Recovery, PMO, Unix
Education
University of Maryland College Park
Bachelor's degree, Decision Information Systems
University of Maryland College Park
Bachelor's degree, Economics
FINRA March 2001 - Present
UnitedHealth Group April 1999 - December 2000
International Paper June 1998 - March 1999
Education
University of Pennsylvania - The Wharton School 2005 — 2008
Certified Regulatory and Compliance Professionals (CRCP)
William Paterson University of New Jersey 1995 — 1998
Bachelor's Degree, Accounting and Finance
Morgan Stanley April 2013 - Present
Morgan Stanley April 2007 - May 2013
FINRA August 2005 - April 2007
Skills
FINRA, Series 7, Series 63, Series 24
Education
UNC Charlotte 2000 — 2004
BSBA, Accounting and Finance
FINRA January 2008 - Present
A.G. Edwards & Sons, Inc. May 2007 - January 2008
Skills
FINRA, AML, Securities Regulation, Financial Regulation, Investments, Broker-Dealer, Series 63, Financial Services, Bank Secrecy Act, OFAC, Securities
Education
Webster University 2008 — 2011
Masters Business Administration
University of Missouri-Columbia 2000 — 2004
Business Administration
FINRA 2011 - Present
FINRA February 2011 - May 2012
Skills
•Over 7 years of..., •Experienced in..., •Reviewe Gap Analysis...
Education
University of Michigan 2004 — 2006
Master of Computer Applications (MCA), Information Technology, 3.78
FINRA 2000 - 2014
Education
University of Maryland University College 1998 — 2000
Bachelor of Science (B.S.), Business Administration and Management, General