FINRA (Financial Industry Regulatory Authority)
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Tax ID: 53-0088710 Agency executive: Robert W. Cook, president and chief executive officer Founded: July 30, 2007 Headquarters: Washington, D.C. CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400
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FINRA (Financial Industry Regulatory Authority) Employees
Employee
Years
Job
Industry
farrah kassam farrah kassam's FINRA (Financial Industry Regulatory Authority) Experience August 2010 - February 2011
Job Associate Manager at SS&C Globeop
Industry Investment Management
Experience
Capital Group August 2015 - Present
SS&C Globeop December 2013 - August 2015
Nuveen Investments March 2011 - December 2013
FINRA (Financial Industry Regulatory Authority) August 2010 - February 2011
Teacher/Employees Retirement System of Texas November 2007 - January 2009
Nuveen Investments February 2006 - August 2007
Dimensional Fund Advisors November 2005 - January 2006
Penson Financial Services June 2004 - September 2005
JPMorgan June 2002 - June 2004
Skills
Securities, Portfolio Management, Equities, Mutual Funds, Fixed Income, Asset Managment, Bloomberg, Derivatives, Trading Systems, Back Office, Investments, Middle Office, Investment Banking, Risk Management, Banking, Series 7, Series 63, Investment Management, Financial Markets, Corporate Actions, Finance, Settlement, Trading
Education
Texas A&M University 1996 — 1999
Bachelor of Business Administration (B.B.A.), finance
The University of Western Ontario - Richard Ivey School of Business 1993 — 1996
Bachelor of Applied Science (B.A.Sc.), chemisty
Capital Group August 2015 - Present
SS&C Globeop December 2013 - August 2015
Nuveen Investments March 2011 - December 2013
FINRA (Financial Industry Regulatory Authority) August 2010 - February 2011
Teacher/Employees Retirement System of Texas November 2007 - January 2009
Nuveen Investments February 2006 - August 2007
Dimensional Fund Advisors November 2005 - January 2006
Penson Financial Services June 2004 - September 2005
JPMorgan June 2002 - June 2004
Skills
Securities, Portfolio Management, Equities, Mutual Funds, Fixed Income, Asset Managment, Bloomberg, Derivatives, Trading Systems, Back Office, Investments, Middle Office, Investment Banking, Risk Management, Banking, Series 7, Series 63, Investment Management, Financial Markets, Corporate Actions, Finance, Settlement, Trading
Education
Texas A&M University 1996 — 1999
Bachelor of Business Administration (B.B.A.), finance
The University of Western Ontario - Richard Ivey School of Business 1993 — 1996
Bachelor of Applied Science (B.A.Sc.), chemisty
Trent Striplin Trent Striplin's FINRA (Financial Industry Regulatory Authority) Experience October 2009 - August 2010
Job Finance Manager at Stratus Dental Group
Industry Management Consulting
Experience
Stratus Dental Group March 2012 - Present
Netflix September 2011 - March 2012
FINRA (Financial Industry Regulatory Authority) October 2009 - August 2010
Skills
Customer Service, Business Intelligence, Management, Leadership, Finance, Budgets, Microsoft Office, Financial Analysis, Strategic Planning, Process Improvement, Team Building, Data Analysis, Project Management, Forecasting, Microsoft Excel, Business Planning, Business Strategy, Financial Reporting, Management Consulting, Demographics, Demographic Analysis, Valuations, Pivot Tables, Process Automation, Marketing, Social Media
Education
Oregon State University 2004 — 2009
Bachelor of Science Degree, Business Administration: Finance
Jesuit High School 2000 — 2004
High School Diploma
Stratus Dental Group March 2012 - Present
Netflix September 2011 - March 2012
FINRA (Financial Industry Regulatory Authority) October 2009 - August 2010
Skills
Customer Service, Business Intelligence, Management, Leadership, Finance, Budgets, Microsoft Office, Financial Analysis, Strategic Planning, Process Improvement, Team Building, Data Analysis, Project Management, Forecasting, Microsoft Excel, Business Planning, Business Strategy, Financial Reporting, Management Consulting, Demographics, Demographic Analysis, Valuations, Pivot Tables, Process Automation, Marketing, Social Media
Education
Oregon State University 2004 — 2009
Bachelor of Science Degree, Business Administration: Finance
Jesuit High School 2000 — 2004
High School Diploma
Phil Buckberg Phil Buckberg's FINRA (Financial Industry Regulatory Authority) Experience January 2007 - February 2008
Job Implementation−Conversion Manager at FIS
Industry Computer Software
Experience
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
Brian Peres Brian Peres's FINRA (Financial Industry Regulatory Authority) Experience July 2000 - March 2011
Job Manager at Deloitte Financial Advisory Services
Industry Financial Services
Experience
Deloitte Advisory March 2011 - Present
FINRA (Financial Industry Regulatory Authority) July 2000 - March 2011
Skills
Investigation, FINRA, Securities, Securities Regulation, Broker-Dealer Compliance, Securities Fraud, AML, Management Consulting, Depositions, Informational Interviews, Project Management, Data Analysis, Cross-functional Team..., MBA, Business Process...
Education
University of Maryland - Robert H. Smith School of Business 2009 — 2012
MBA
University of Maryland College Park 1995 — 2000
Bachelor of Arts (B.A.), Economics, Government & Politics
Loyola Blakefield
Deloitte Advisory March 2011 - Present
FINRA (Financial Industry Regulatory Authority) July 2000 - March 2011
Skills
Investigation, FINRA, Securities, Securities Regulation, Broker-Dealer Compliance, Securities Fraud, AML, Management Consulting, Depositions, Informational Interviews, Project Management, Data Analysis, Cross-functional Team..., MBA, Business Process...
Education
University of Maryland - Robert H. Smith School of Business 2009 — 2012
MBA
University of Maryland College Park 1995 — 2000
Bachelor of Arts (B.A.), Economics, Government & Politics
Loyola Blakefield
Christine Martuscello Christine Martuscello's FINRA (Financial Industry Regulatory Authority) Experience January 2010 - October 2011
Job Securities Regulation Professional
Industry Financial Services
Experience
SEI July 2013 - March 2015
Wells Fargo February 2012 - June 2013
FINRA Financial Industry Regulatory Authority January 2010 - October 2011
Philadelphia Stock Exchange March 2004 - June 2009
Knight Trading Group 2001 - 2002
Preferred Capital Markets 2000 - 2001
Pacific Exchange 1997 - 2000
Bear Stearns 1993 - 1997
Skills
Compliance, Equities, Options, Trading, Derivatives, Securities
Education
Cabrillo College
Montgomery County Community College
State University of New York College at Plattsburgh
SEI July 2013 - March 2015
Wells Fargo February 2012 - June 2013
FINRA Financial Industry Regulatory Authority January 2010 - October 2011
Philadelphia Stock Exchange March 2004 - June 2009
Knight Trading Group 2001 - 2002
Preferred Capital Markets 2000 - 2001
Pacific Exchange 1997 - 2000
Bear Stearns 1993 - 1997
Skills
Compliance, Equities, Options, Trading, Derivatives, Securities
Education
Cabrillo College
Montgomery County Community College
State University of New York College at Plattsburgh
Truc Gorsd Truc Gorsd's FINRA (Financial Industry Regulatory Authority) Experience March 2003 - March 2010
Job Manager at Verizon Wireless
Industry Financial Services
Experience
Verizon Wireless March 2012 - Present
The BGK Group May 2010 - December 2010
FINRA (Financial Industry Regulatory Authority) March 2003 - March 2010
New York Institute of Finance, formerly FT Knowledge November 1999 - February 2003
American Institute of Chemical Engineers 1997 - 1999
Herbert L. Jamison 1996 - 1997
Institute for International Research (IIR) 1994 - 1996
Skills
Project Management, Direct Marketing, Marketing, Online Advertising, Strategy, E-commerce, Sales, Integrated Marketing, Marketing Strategy, Product Management, Start-ups
Education
Rutgers University-New Brunswick 1989 — 1993
B.S., Economics
Verizon Wireless March 2012 - Present
The BGK Group May 2010 - December 2010
FINRA (Financial Industry Regulatory Authority) March 2003 - March 2010
New York Institute of Finance, formerly FT Knowledge November 1999 - February 2003
American Institute of Chemical Engineers 1997 - 1999
Herbert L. Jamison 1996 - 1997
Institute for International Research (IIR) 1994 - 1996
Skills
Project Management, Direct Marketing, Marketing, Online Advertising, Strategy, E-commerce, Sales, Integrated Marketing, Marketing Strategy, Product Management, Start-ups
Education
Rutgers University-New Brunswick 1989 — 1993
B.S., Economics
Darnell Frazier, MBA Darnell Frazier, MBA's FINRA (Financial Industry Regulatory Authority) Experience July 2008 - January 2009
Job Seeking opportunities in Operations, HR, and Business Development
Industry Management Consulting
Experience
Briscoe and Associates - Tax Preparation January 2009 - Present
Radnor Business Enterprises, LLC January 2009 - April 2012
Ritz Camera Centers October 2010 - April 2011
FINRA (Financial Industry Regulatory Authority) July 2008 - January 2009
Johns Hopkins Bayview Medical Center September 2007 - April 2008
Prizm Advance Communication Electronics February 2007 - August 2007
Kelly Services February 2005 - February 2007
Kelly Services October 2004 - February 2005
Laz Parking June 2004 - August 2004
ABM Industries / Ampco System Parking July 2001 - June 2004
Skills
Compensation, Benefits Administration, Vendor Relations, Contract Management, Purchasing, Logistics Management, International Logistics, Healthcare, Multi-state Payroll, Procurement, Accounts Payable, Accounts Receivable, Financial Accounting, Employee/Labor Relations, Garnishments, Marketing Communications, Operations Management, Financial Reporting, Property Management, Project Portfolio..., HRIS Database Management, Leadership Development, Senior Management..., Deferred Compensation, Human Resources, Payroll, Project Management, Vendor Management, Sales, Mergers, Logistics, Quality Control, Retirement, Wage, Employee Relations, Onboarding, Performance Management, Recruiting, PeopleSoft, Talent Management, Employee Benefits, HRIS, Team Building, Process Improvement, Training, Change Management, Coaching, Strategic Planning, Labor Relations, Talent Acquisition
Education
The John Marshall Law School 2014 — 2017
Juris Doctor (J.D.), Employee Benefits
University of Baltimore 2009 — 2014
MBA, Human Resources Management/Personnel Administration, General, 3.4
Case Western Reserve University - Weatherhead School of Management 1996 — 1998
MBA/MNO, Specializing in Nonprofit Management, Accounting, and Entrepreneurship, 3.4
Wabash College 1990 — 1994
Bachelors of Arts, Political Science
John Hay High School 1989 — 1990
Diploma, General Studies
Thomas J. Corcoran High School 1987 — 1989
HS Diploma, Business Management & Administration
Briscoe and Associates - Tax Preparation January 2009 - Present
Radnor Business Enterprises, LLC January 2009 - April 2012
Ritz Camera Centers October 2010 - April 2011
FINRA (Financial Industry Regulatory Authority) July 2008 - January 2009
Johns Hopkins Bayview Medical Center September 2007 - April 2008
Prizm Advance Communication Electronics February 2007 - August 2007
Kelly Services February 2005 - February 2007
Kelly Services October 2004 - February 2005
Laz Parking June 2004 - August 2004
ABM Industries / Ampco System Parking July 2001 - June 2004
Skills
Compensation, Benefits Administration, Vendor Relations, Contract Management, Purchasing, Logistics Management, International Logistics, Healthcare, Multi-state Payroll, Procurement, Accounts Payable, Accounts Receivable, Financial Accounting, Employee/Labor Relations, Garnishments, Marketing Communications, Operations Management, Financial Reporting, Property Management, Project Portfolio..., HRIS Database Management, Leadership Development, Senior Management..., Deferred Compensation, Human Resources, Payroll, Project Management, Vendor Management, Sales, Mergers, Logistics, Quality Control, Retirement, Wage, Employee Relations, Onboarding, Performance Management, Recruiting, PeopleSoft, Talent Management, Employee Benefits, HRIS, Team Building, Process Improvement, Training, Change Management, Coaching, Strategic Planning, Labor Relations, Talent Acquisition
Education
The John Marshall Law School 2014 — 2017
Juris Doctor (J.D.), Employee Benefits
University of Baltimore 2009 — 2014
MBA, Human Resources Management/Personnel Administration, General, 3.4
Case Western Reserve University - Weatherhead School of Management 1996 — 1998
MBA/MNO, Specializing in Nonprofit Management, Accounting, and Entrepreneurship, 3.4
Wabash College 1990 — 1994
Bachelors of Arts, Political Science
John Hay High School 1989 — 1990
Diploma, General Studies
Thomas J. Corcoran High School 1987 — 1989
HS Diploma, Business Management & Administration
Michael Neely Michael Neely's FINRA (Financial Industry Regulatory Authority) Experience 2008 - Present
Job Senior Data Warehouse Analyst
Industry Information Technology and Services
Experience
FINRA - Financial Industry Regulatory Authority 2008 - Present
Simple Leads 2013 - 2013
Financial Industry Regulatory Authority March 2011 - December 2011
Financial Regulatory Authority May 2008 - March 2011
LoganBritton, Inc. (Americo Insurance Co.) December 2007 - March 2008
Meridian Technologies (Wachovia Bank) May 2007 - December 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) February 2007 - April 2007
Wells Fargo Home Mortgage September 2006 - January 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) July 2006 - September 2006
Meridian Technologies (Wachovia Bank) October 2005 - July 2006
Skills
Requirements Gathering, Requirements Analysis, Requirements Management, Data Modeling, ETL, DB2, Informatica, Visio, Datastage, Business Intelligence, Oracle, Databases, Data Warehousing, Integration, SOA, Data Quality, Teradata
Education
The Johns Hopkins University 1983 — 1987
Masters of Science, Computer Science
University of Virginia 1975 — 1979
Bachelor of Science, Systems Engineering
FINRA - Financial Industry Regulatory Authority 2008 - Present
Simple Leads 2013 - 2013
Financial Industry Regulatory Authority March 2011 - December 2011
Financial Regulatory Authority May 2008 - March 2011
LoganBritton, Inc. (Americo Insurance Co.) December 2007 - March 2008
Meridian Technologies (Wachovia Bank) May 2007 - December 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) February 2007 - April 2007
Wells Fargo Home Mortgage September 2006 - January 2007
Meridian Technologies (Blue Cross / Blue Shield of Florida) July 2006 - September 2006
Meridian Technologies (Wachovia Bank) October 2005 - July 2006
Skills
Requirements Gathering, Requirements Analysis, Requirements Management, Data Modeling, ETL, DB2, Informatica, Visio, Datastage, Business Intelligence, Oracle, Databases, Data Warehousing, Integration, SOA, Data Quality, Teradata
Education
The Johns Hopkins University 1983 — 1987
Masters of Science, Computer Science
University of Virginia 1975 — 1979
Bachelor of Science, Systems Engineering
Rishi Aggarwal Rishi Aggarwal's FINRA (Financial Industry Regulatory Authority) Experience 2011 - Present
Job Computer Software Professional
Industry Computer Software
Experience
FINRA - Financial Industry Regulatory Authority 2011 - Present
FreddieMac 2003 - Present
Freddie Mac March 2003 - May 2006
Global Computer Enterprises 2004 - 2004
Skills
Testing, SDLC, Business Analysis, Quality Center, Test Planning, Quality Assurance, ClearQuest, Requirements Analysis, User Acceptance Testing
Education
University of Massachusetts Lowell 2000 — 2002
FINRA - Financial Industry Regulatory Authority 2011 - Present
FreddieMac 2003 - Present
Freddie Mac March 2003 - May 2006
Global Computer Enterprises 2004 - 2004
Skills
Testing, SDLC, Business Analysis, Quality Center, Test Planning, Quality Assurance, ClearQuest, Requirements Analysis, User Acceptance Testing
Education
University of Massachusetts Lowell 2000 — 2002
Jesse Brooks Jesse Brooks's FINRA (Financial Industry Regulatory Authority) Experience July 2013 - Present
Job Financial / Operational Examiner at FINRA
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) July 2013 - Present
Interactive Brokers Group August 2009 - July 2013
Raymond James Financial Services October 2007 - May 2009
Skills
International Finance, Operational Strategy, Business Process..., Financial Analysis, Account Reconciliation, Cost-benefit Analysis, Mentoring Of Staff, Compliance, Sales Operations, P&L Accountability
Education
Bentley University 2005 — 2009
Bachelor of Science, Corporate Finance and Accounting
FINRA (Financial Industry Regulatory Authority) July 2013 - Present
Interactive Brokers Group August 2009 - July 2013
Raymond James Financial Services October 2007 - May 2009
Skills
International Finance, Operational Strategy, Business Process..., Financial Analysis, Account Reconciliation, Cost-benefit Analysis, Mentoring Of Staff, Compliance, Sales Operations, P&L Accountability
Education
Bentley University 2005 — 2009
Bachelor of Science, Corporate Finance and Accounting
Susan M. Dunning Susan M. Dunning's FINRA (Financial Industry Regulatory Authority) Experience November 1999 - Present
Job Professional Seeking Career Position Suitable to Professional Experience
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) November 1999 - Present
Citi Wealth Management Latin America, Citigold International, Citigroup Global Markets Inc. March 2014 - August 2014
UBS PaineWebber, Inc. September 2000 - March 2003
Salomon Smith Barney, Inc., Florida Corporate Services Group September 1998 - March 2000
Education
Nova Southeastern University 2006 — 2009
Masters, International Business Management
Florida Atlantic University
Executive Certification, Project Management
ACFE
Certification, Fraud Examiner
Florida Atlantic University
Certification, Lean Six Sigma Green Belt
FINRA (Financial Industry Regulatory Authority) November 1999 - Present
Citi Wealth Management Latin America, Citigold International, Citigroup Global Markets Inc. March 2014 - August 2014
UBS PaineWebber, Inc. September 2000 - March 2003
Salomon Smith Barney, Inc., Florida Corporate Services Group September 1998 - March 2000
Education
Nova Southeastern University 2006 — 2009
Masters, International Business Management
Florida Atlantic University
Executive Certification, Project Management
ACFE
Certification, Fraud Examiner
Florida Atlantic University
Certification, Lean Six Sigma Green Belt
Dallas W. Coffman, CLU®, ChFC®, EA, CFP® Dallas W. Coffman, CLU®, ChFC®, EA, CFP®'s FINRA (Financial Industry Regulatory Authority) Experience March 1990 - Present
Job Subject Matter Expert and Tax Specialist for IRS Special Enrollment Examination (SEE) at Prometric
Industry Financial Services
Experience
WHITMAN FINANCIAL SERVICES, LLC. June 1983 - Present
LPL FINANCIAL August 1986 - Present
FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) March 1990 - Present
Prometric July 2014 - Present
TOWN OF NORTH READING, MASSACHUSETTS May 2014 - Present
TOWN OF NORTH READING, MASSACHUSETTS May 2014 - Present
PEAK ADVISOR ALLIANCE 2004 - Present
CFP BOARD OF PROFESSIONAL STANDARDS 2000 - Present
NORTHERN ESSEX COMMUNITY COLLEGE 2012 - June 2013
CRYSTAL CONDOMINIUM TRUST December 1994 - December 2004
Skills
Alternative Dispute..., Alternative Investments, Annuities, Arbitration, Asset Allocation, Asset Management, Bonds, Business Planning, Cash Management, Comprehensive Wealth..., Disability Insurance, Equities, Estate Planning, ETFs, Financial Advisory, Financial Planning, Financial Markets, FINRA, 401k, 401k Rollovers, Insurance, Insurance Planning, Investment Advisory, Investment Management, Investment Strategies, Investments, IRA's, Long Term Care, Mutual Funds, Options, Pensions, Personal Finance, Portfolio Management, Retirement, Retirement Income..., Retirement Planning, Risk Management, Securities, Series 7, Series 24, Small Business, Stocks, Strategic Financial..., Tax, Wealth, Wealth Accumulation, Wealth Management, Wealth Preservation, Wealth Preservation..., Wealth Transfer
Education
Bentley University 1977 — 1979
B.S. Marketing Management, Marketing, Business, Finance
Northern Essex Community College 1975 — 1977
Associate of Science, Business Management Transfer
Newburyport High School 1971 — 1975
Diploma, College Preparatory
WHITMAN FINANCIAL SERVICES, LLC. June 1983 - Present
LPL FINANCIAL August 1986 - Present
FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) March 1990 - Present
Prometric July 2014 - Present
TOWN OF NORTH READING, MASSACHUSETTS May 2014 - Present
TOWN OF NORTH READING, MASSACHUSETTS May 2014 - Present
PEAK ADVISOR ALLIANCE 2004 - Present
CFP BOARD OF PROFESSIONAL STANDARDS 2000 - Present
NORTHERN ESSEX COMMUNITY COLLEGE 2012 - June 2013
CRYSTAL CONDOMINIUM TRUST December 1994 - December 2004
Skills
Alternative Dispute..., Alternative Investments, Annuities, Arbitration, Asset Allocation, Asset Management, Bonds, Business Planning, Cash Management, Comprehensive Wealth..., Disability Insurance, Equities, Estate Planning, ETFs, Financial Advisory, Financial Planning, Financial Markets, FINRA, 401k, 401k Rollovers, Insurance, Insurance Planning, Investment Advisory, Investment Management, Investment Strategies, Investments, IRA's, Long Term Care, Mutual Funds, Options, Pensions, Personal Finance, Portfolio Management, Retirement, Retirement Income..., Retirement Planning, Risk Management, Securities, Series 7, Series 24, Small Business, Stocks, Strategic Financial..., Tax, Wealth, Wealth Accumulation, Wealth Management, Wealth Preservation, Wealth Preservation..., Wealth Transfer
Education
Bentley University 1977 — 1979
B.S. Marketing Management, Marketing, Business, Finance
Northern Essex Community College 1975 — 1977
Associate of Science, Business Management Transfer
Newburyport High School 1971 — 1975
Diploma, College Preparatory
Kenneth Edward Piner's FINRA (Financial Industry Regulatory Authority) Experience February 2014 - Present
Job Director: Broadcast & Digital Media at FINRA (Financial Industry Regulatory Authority)
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) February 2014 - Present
FINRA (Financial Industry Regulatory Authority) April 2010 - February 2014
FINRA (Financial Industry Regulatory Authority) September 2006 - April 2010
Public Company Accounting Oversight Board March 2004 - April 2006
Public Company Accounting Oversight Board April 2003 - March 2004
Baker & McKenzie June 1999 - April 2003
Medill News Service September 1992 - September 1993
Education
Northwestern University 1992 — 1993
Masters of Science in Journalism
Columbia Union College 1988 — 1992
B.S.
FINRA (Financial Industry Regulatory Authority) February 2014 - Present
FINRA (Financial Industry Regulatory Authority) April 2010 - February 2014
FINRA (Financial Industry Regulatory Authority) September 2006 - April 2010
Public Company Accounting Oversight Board March 2004 - April 2006
Public Company Accounting Oversight Board April 2003 - March 2004
Baker & McKenzie June 1999 - April 2003
Medill News Service September 1992 - September 1993
Education
Northwestern University 1992 — 1993
Masters of Science in Journalism
Columbia Union College 1988 — 1992
B.S.
Alex Javelly Alex Javelly's FINRA (Financial Industry Regulatory Authority) Experience May 2011 - July 2011
Job Associate at Schreck Rose Dapello & Adams LLP
Industry Law Practice
Experience
Schreck Rose Dapello & Adams LLP May 2015 - Present
Pillsbury Winthrop Shaw Pittman LLP October 2013 - April 2015
Pillsbury Winthrop Shaw Pittman May 2012 - July 2012
FINRA (Financial Industry Regulatory Authority) May 2011 - July 2011
Sullivan & Cromwell LLP July 2008 - May 2010
U.S. Trust, Bank of America Private Wealth Management June 2007 - August 2007
Pioneer Investments June 2005 - August 2005
Education
The George Washington University Law School 2010 — 2013
JD, Law, with Honors
University of Pennsylvania 2004 — 2008
B.A., Psychology, Music (minor), Cum Laude
Ransom Everglades 2000 — 2004
Schreck Rose Dapello & Adams LLP May 2015 - Present
Pillsbury Winthrop Shaw Pittman LLP October 2013 - April 2015
Pillsbury Winthrop Shaw Pittman May 2012 - July 2012
FINRA (Financial Industry Regulatory Authority) May 2011 - July 2011
Sullivan & Cromwell LLP July 2008 - May 2010
U.S. Trust, Bank of America Private Wealth Management June 2007 - August 2007
Pioneer Investments June 2005 - August 2005
Education
The George Washington University Law School 2010 — 2013
JD, Law, with Honors
University of Pennsylvania 2004 — 2008
B.A., Psychology, Music (minor), Cum Laude
Ransom Everglades 2000 — 2004
Joanna Belbey Joanna Belbey's FINRA (Financial Industry Regulatory Authority) Experience March 2004 - March 2010
Job Social Media Compliance SME | Forbes Contributor | Financial Services | Healthcare | SXSW
Industry Financial Services
Experience
Actiance, Inc. August 2011 - Present
The BGK Group May 2010 - July 2011
FINRA (Financial Industry Regulatory Authority) March 2004 - March 2010
American Craft Council September 2002 - February 2004
Direct Response Marketing January 1991 - September 2002
Wunderman 1996 - 1998
American Banker Bond Buyer 1990 - 1992
Skills
Social Media Marketing, Social Media Consulting, Social Business, Marketing Strategy, Social Media Strategist, Unified Communications, Social Networking, Social Media, Content Development, Video Production, Video Editing, Videography, Social Media Education, Project Management, Internet Strategy, Social CRM, B2B2C, B2B Marketing, B2C, Marketing Communications, Social Media Measurement, Business Planning, Management, b2b ecommerce, FINRA, Compliance, Digital Strategy, Public Relations, Digital Marketing, Digital Media, Start-ups, Training, B2B, Strategy, Marketing, Leadership, Strategic Partnerships, Online Marketing, Business Development, Analytics, New Media, Event Planning, Enterprise Software, Content Strategy, Email Marketing, Sales, Financial Services, Lead Generation, Regulatory Compliance
Education
New York University 2009 — 2013
Certificate, Video and Film Production
Georgetown University 1975 — 1979
BSFS, International Economics
Actiance, Inc. August 2011 - Present
The BGK Group May 2010 - July 2011
FINRA (Financial Industry Regulatory Authority) March 2004 - March 2010
American Craft Council September 2002 - February 2004
Direct Response Marketing January 1991 - September 2002
Wunderman 1996 - 1998
American Banker Bond Buyer 1990 - 1992
Skills
Social Media Marketing, Social Media Consulting, Social Business, Marketing Strategy, Social Media Strategist, Unified Communications, Social Networking, Social Media, Content Development, Video Production, Video Editing, Videography, Social Media Education, Project Management, Internet Strategy, Social CRM, B2B2C, B2B Marketing, B2C, Marketing Communications, Social Media Measurement, Business Planning, Management, b2b ecommerce, FINRA, Compliance, Digital Strategy, Public Relations, Digital Marketing, Digital Media, Start-ups, Training, B2B, Strategy, Marketing, Leadership, Strategic Partnerships, Online Marketing, Business Development, Analytics, New Media, Event Planning, Enterprise Software, Content Strategy, Email Marketing, Sales, Financial Services, Lead Generation, Regulatory Compliance
Education
New York University 2009 — 2013
Certificate, Video and Film Production
Georgetown University 1975 — 1979
BSFS, International Economics
Thomas G. Dineen III Thomas G. Dineen III's FINRA (Financial Industry Regulatory Authority) Experience July 2007 - Present
Job Securities regulator
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
TD Ameritrade October 2006 - July 2007
Ameriprise Financial Advisors June 2002 - October 2006
Ketchum Public Relations 2000 - 2001
Al Paul Lefton Co. 1996 - 2000
Skills
Securities, Series 63, Equities, Mutual Funds, Alternative Investments, Litigation, Strategic Planning, Finance, Hedge Funds, Investments, Estate Planning, Arbitration, Portfolio Management, Due Diligence, Wealth Management, Leadership, Investment Strategies, Investment Advisory, Mergers & Acquisitions, Volunteering, Financial Analysis, Financial Advisory, Capital Markets, Insurance, Uniform Combined State..., Private Equity, Securities Regulation, Fixed Income, Series 7
Education
University of Pennsylvania Law School 1994 — 1995
LLM, Law
University of Oxford (Lincoln College) 1991 — 1994
MA, Law
Columbia University (Columbia College) 1985 — 1989
BA, English Literature
Archmere Academy 1981 — 1985
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
TD Ameritrade October 2006 - July 2007
Ameriprise Financial Advisors June 2002 - October 2006
Ketchum Public Relations 2000 - 2001
Al Paul Lefton Co. 1996 - 2000
Skills
Securities, Series 63, Equities, Mutual Funds, Alternative Investments, Litigation, Strategic Planning, Finance, Hedge Funds, Investments, Estate Planning, Arbitration, Portfolio Management, Due Diligence, Wealth Management, Leadership, Investment Strategies, Investment Advisory, Mergers & Acquisitions, Volunteering, Financial Analysis, Financial Advisory, Capital Markets, Insurance, Uniform Combined State..., Private Equity, Securities Regulation, Fixed Income, Series 7
Education
University of Pennsylvania Law School 1994 — 1995
LLM, Law
University of Oxford (Lincoln College) 1991 — 1994
MA, Law
Columbia University (Columbia College) 1985 — 1989
BA, English Literature
Archmere Academy 1981 — 1985
Jessica Townsend's FINRA (Financial Industry Regulatory Authority) Experience September 2011 - September 2014
Job Director, Supervisory Processes at Conference of State Bank Supervisors (CSBS)
Industry Banking
Experience
Conference of State Bank Supervisors (CSBS) August 2015 - Present
Federal Housing Finance Agency September 2014 - July 2015
FINRA (Financial Industry Regulatory Authority) September 2011 - September 2014
FINRA July 2006 - September 2011
Deutsche Bank Berkshire Mortgage September 2003 - March 2006
The Northwestern Mutual Financial Network January 2002 - May 2003
Fidelity Investments December 2000 - November 2001
Skills
Trading Systems, Investment Banking, Securities, Investments, Portfolio Management, Risk Management, AML, Analysis, Employee Training, Equities, FINRA, Finance, Financial Risk, Insurance, Mutual Funds, Policy, Training, Training Delivery, Public Speaking, Microsoft Office, Management, Leadership, Customer Service
Education
Keller Graduate School of Management 2004 — 2007
M.B.A., Business Administration and Management, General
Huston-Tillotson University 1997 — 1999
Bachelor of Arts (B.A.), Business Administration and Management, General
Texas A&M University-Commerce 1995 — 1997
Pflugerville 1991 — 1995
Diploma
Conference of State Bank Supervisors (CSBS) August 2015 - Present
Federal Housing Finance Agency September 2014 - July 2015
FINRA (Financial Industry Regulatory Authority) September 2011 - September 2014
FINRA July 2006 - September 2011
Deutsche Bank Berkshire Mortgage September 2003 - March 2006
The Northwestern Mutual Financial Network January 2002 - May 2003
Fidelity Investments December 2000 - November 2001
Skills
Trading Systems, Investment Banking, Securities, Investments, Portfolio Management, Risk Management, AML, Analysis, Employee Training, Equities, FINRA, Finance, Financial Risk, Insurance, Mutual Funds, Policy, Training, Training Delivery, Public Speaking, Microsoft Office, Management, Leadership, Customer Service
Education
Keller Graduate School of Management 2004 — 2007
M.B.A., Business Administration and Management, General
Huston-Tillotson University 1997 — 1999
Bachelor of Arts (B.A.), Business Administration and Management, General
Texas A&M University-Commerce 1995 — 1997
Pflugerville 1991 — 1995
Diploma
Tom Jacobs's FINRA (Financial Industry Regulatory Authority) Experience May 2010 - August 2010
Job Finance Consultant at Pride Technologies
Industry Management Consulting
Experience
Pride Technologies July 2015 - Present
NewBrand February 2015 - June 2015
NewBrand September 2013 - February 2015
McCann New York June 2012 - August 2012
Brunswick Group May 2011 - August 2011
FINRA (Financial Industry Regulatory Authority) May 2010 - August 2010
Skills
Public Relations, Business Development, Competitive Analysis, Strategic Communications, Negotiation, Enterprise Sales, Cold Calling, Marketing, LinkedIn Sales Navigator, Social Media Marketing, Reputation Management, Salesforce.com, C-Level Communications, Media Monitoring, Media Relations, Crisis Communications, Corporate Communications, Press Releases, Communications Planning, Message Development, Microsoft Office, Database Administration, New Business Development, ZoomInfo, Data Analysis, Customer Relationship..., Atlassian JIRA, Client Prospecting, Yesware, SaaS, Account Management, Strategic Planning, Process Improvement, Networking, Advertising, Sales Forecasting, Cross Selling, Client Liaison, Social Media Campaigns, CisionPoint, Cross-functional Teams, Hiring & Onboarding, Training, Closing, Trade Shows, Webinars, Presentations, Contract Structuring, Account Penetration, Upselling
Education
University of Miami - School of Business 2009 — 2013
Bachelor of Business Administration (B.B.A.), Marketing & Advertising
Universitat Autònoma de Barcelona 2013 — 2013
Study Abroad Program, Cultural & International Business Studies
Pride Technologies July 2015 - Present
NewBrand February 2015 - June 2015
NewBrand September 2013 - February 2015
McCann New York June 2012 - August 2012
Brunswick Group May 2011 - August 2011
FINRA (Financial Industry Regulatory Authority) May 2010 - August 2010
Skills
Public Relations, Business Development, Competitive Analysis, Strategic Communications, Negotiation, Enterprise Sales, Cold Calling, Marketing, LinkedIn Sales Navigator, Social Media Marketing, Reputation Management, Salesforce.com, C-Level Communications, Media Monitoring, Media Relations, Crisis Communications, Corporate Communications, Press Releases, Communications Planning, Message Development, Microsoft Office, Database Administration, New Business Development, ZoomInfo, Data Analysis, Customer Relationship..., Atlassian JIRA, Client Prospecting, Yesware, SaaS, Account Management, Strategic Planning, Process Improvement, Networking, Advertising, Sales Forecasting, Cross Selling, Client Liaison, Social Media Campaigns, CisionPoint, Cross-functional Teams, Hiring & Onboarding, Training, Closing, Trade Shows, Webinars, Presentations, Contract Structuring, Account Penetration, Upselling
Education
University of Miami - School of Business 2009 — 2013
Bachelor of Business Administration (B.B.A.), Marketing & Advertising
Universitat Autònoma de Barcelona 2013 — 2013
Study Abroad Program, Cultural & International Business Studies
Lorraine Page's FINRA (Financial Industry Regulatory Authority) Experience September 2015 - Present
Job Senior Paralegal at FINRA
Industry Legal Services
Experience
FINRA (Financial Industry Regulatory Authority) September 2015 - Present
Independent - Self Employed May 2014 - September 2015
Armstrong Teasdale LLP May 2008 - August 2015
Citi September 2007 - May 2008
Citi February 2002 - September 2007
Citi October 1997 - February 2002
Skills
Notary Public, Management, Project Management, Civil Litigation, Commercial Litigation, Credit Cards, Credit Risk, Regulatory Affairs, Employment Law, Business Strategy, Real Estate Transactions, Loan Closings, Titles, Deeds, Foreclosures, Banking, Class Actions, enforce, Investigation, Skip Tracing, Legal Research, Depositions, EEOC, Jury Trials, Witness Statements, Expert Witness, Franchise Agreements, Family Law, Sarbanes-Oxley Act, Job Evaluation, Debt Management, Franchising, OCC, FDCPA, FCRA, Regulatory Requirements, Legal Documents, eDocs, HUD Foreclosures, Operations Management, Microsoft Office, Litigation, Legal Writing, Customer Service, Legal Assistance, Leadership, Westlaw, Courts, Microsoft Word, Corporate Law
Education
Oxford College of Further Education
FINRA (Financial Industry Regulatory Authority) September 2015 - Present
Independent - Self Employed May 2014 - September 2015
Armstrong Teasdale LLP May 2008 - August 2015
Citi September 2007 - May 2008
Citi February 2002 - September 2007
Citi October 1997 - February 2002
Skills
Notary Public, Management, Project Management, Civil Litigation, Commercial Litigation, Credit Cards, Credit Risk, Regulatory Affairs, Employment Law, Business Strategy, Real Estate Transactions, Loan Closings, Titles, Deeds, Foreclosures, Banking, Class Actions, enforce, Investigation, Skip Tracing, Legal Research, Depositions, EEOC, Jury Trials, Witness Statements, Expert Witness, Franchise Agreements, Family Law, Sarbanes-Oxley Act, Job Evaluation, Debt Management, Franchising, OCC, FDCPA, FCRA, Regulatory Requirements, Legal Documents, eDocs, HUD Foreclosures, Operations Management, Microsoft Office, Litigation, Legal Writing, Customer Service, Legal Assistance, Leadership, Westlaw, Courts, Microsoft Word, Corporate Law
Education
Oxford College of Further Education
Saranga Ram Saranga Ram's FINRA (Financial Industry Regulatory Authority) Experience June 2010 - May 2013
Job Sr. Program Manager at Deutsche Bank
Industry Information Technology and Services
Experience
Deutsche Bank May 2013 - Present
FINRA - Financial Industry Regulatory Authority June 2010 - May 2013
NYSE - New york Stock Exchange April 2002 - June 2010
Goldman Sachs 2001 - 2002
Morgan Stanley 2000 - 2001
Skills
SDLC, Management, IT Strategy, Business Analysis, Software Project..., Requirements Analysis, Agile Methodologies, Trading Systems, Vendor Management, Enterprise Architecture, Program Management, Solution Architecture, Certified Scrum Master..., Project Portfolio..., PMP, SOA, PMO, Integration, IT Management, Agile Project Management, Requirements Gathering
Education
Osmania University 1986 — 1989
Bachelor in Science, Physics, Chemistry, Mathematics
Deutsche Bank May 2013 - Present
FINRA - Financial Industry Regulatory Authority June 2010 - May 2013
NYSE - New york Stock Exchange April 2002 - June 2010
Goldman Sachs 2001 - 2002
Morgan Stanley 2000 - 2001
Skills
SDLC, Management, IT Strategy, Business Analysis, Software Project..., Requirements Analysis, Agile Methodologies, Trading Systems, Vendor Management, Enterprise Architecture, Program Management, Solution Architecture, Certified Scrum Master..., Project Portfolio..., PMP, SOA, PMO, Integration, IT Management, Agile Project Management, Requirements Gathering
Education
Osmania University 1986 — 1989
Bachelor in Science, Physics, Chemistry, Mathematics
Susan Merrill Susan Merrill's FINRA (Financial Industry Regulatory Authority) Experience July 2007 - April 2010
Job Partner at Sidley Austin LLP
Industry Law Practice
Experience
Sidley Austin LLP April 2013 - Present
Bingham McCutchen April 2010 - March 2013
FINRA (Financial Industry Regulatory Authority) July 2007 - April 2010
New York Stock Exchange July 2004 - July 2007
Davis Polk & Wardwell October 1987 - June 2004
Skills
Securities Regulation, Securities Litigation, Enforcement, Corporate Governance, Corporate Law, Securities, Arbitration, FCPA
Education
Brooklyn Law School 1983 — 1986
JD, Summa Cum Laude, Law
Sidley Austin LLP April 2013 - Present
Bingham McCutchen April 2010 - March 2013
FINRA (Financial Industry Regulatory Authority) July 2007 - April 2010
New York Stock Exchange July 2004 - July 2007
Davis Polk & Wardwell October 1987 - June 2004
Skills
Securities Regulation, Securities Litigation, Enforcement, Corporate Governance, Corporate Law, Securities, Arbitration, FCPA
Education
Brooklyn Law School 1983 — 1986
JD, Summa Cum Laude, Law
Slava Lazebnikov Slava Lazebnikov's FINRA (Financial Industry Regulatory Authority) Experience 2004 - June 2012
Job
Industry Computer Software
Experience
EPAM Systems June 2013 - Present
Semiretired July 2012 - June 2013
FINRA May 2005 - July 2012
Financial Industry Regulatory Authority June 2009 - June 2012
FINRA - Financial Industry Regulatory Authority 2004 - June 2012
Microstrategy 2000 - 2002
Geico 1997 - 2000
NetBalance 1997 - 1998
PB Farradyne 1996 - 1997
Cable and Wireless 1995 - 1996
Skills
Software Development, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Cloud Computing, SDLC, XML, SQL, Business Intelligence, Java Enterprise Edition, Databases, Software Design, ETL, Web Services, Java, Linux, Oracle, Tomcat, Hibernate, Database Design, Unix, Software Project..., Solution Architecture, Big Data, Requirements Analysis, Enterprise Software, Perl, System Architecture, Ant, Architecture, Integration, Data Modeling, IT Strategy, Weblogic, Agile Project Management, UML, Unix Shell Scripting, Distributed Systems, PL/SQL, Scrum, Web Applications, Architectures, Data Integration, Solaris, Object Oriented Design, JMS, Spring, DB2, Application Architecture
Education
Lomonosov Moscow State University (MSU) 1982 — 1984
PhD, Computer Science
National University of Science and Technology "MISIS" (Moscow Institute of Steel and Alloys) 1970 — 1976
Master, Physics
EPAM Systems June 2013 - Present
Semiretired July 2012 - June 2013
FINRA May 2005 - July 2012
Financial Industry Regulatory Authority June 2009 - June 2012
FINRA - Financial Industry Regulatory Authority 2004 - June 2012
Microstrategy 2000 - 2002
Geico 1997 - 2000
NetBalance 1997 - 1998
PB Farradyne 1996 - 1997
Cable and Wireless 1995 - 1996
Skills
Software Development, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Cloud Computing, SDLC, XML, SQL, Business Intelligence, Java Enterprise Edition, Databases, Software Design, ETL, Web Services, Java, Linux, Oracle, Tomcat, Hibernate, Database Design, Unix, Software Project..., Solution Architecture, Big Data, Requirements Analysis, Enterprise Software, Perl, System Architecture, Ant, Architecture, Integration, Data Modeling, IT Strategy, Weblogic, Agile Project Management, UML, Unix Shell Scripting, Distributed Systems, PL/SQL, Scrum, Web Applications, Architectures, Data Integration, Solaris, Object Oriented Design, JMS, Spring, DB2, Application Architecture
Education
Lomonosov Moscow State University (MSU) 1982 — 1984
PhD, Computer Science
National University of Science and Technology "MISIS" (Moscow Institute of Steel and Alloys) 1970 — 1976
Master, Physics
Rene' Stern's FINRA (Financial Industry Regulatory Authority) Experience 2010 - 2011
Job Executive/ Resourceful, Innovative, Strategic/ Organizational Systems to Rebuild Infrastructure/ Collaborative/Networker
Industry Executive Office
Experience
The More Group (Multifamily development) February 2015 - Present
Integrative Dermatology February 2012 - March 2013
FINRA - Financial Industry Regulatory Authority 2010 - 2011
American Realtime Court Reporters 2008 - 2010
Lavalle, Brown, Ronan & Mullins, P.A. 1985 - 2009
Skills
Management, Organizational..., Highly detail oriented, Customer-focused Service, Community Outreach, Human Resources, Client Development, Integrity, Esthetician, Creative Problem Solving, Volunteering, Public Speaking, Operations Management, Communication Skills, Business Networking, Client Concierge, Proactive self-starter, Sales, Real Estate License, Document Drafting, Marketing, Certified Medical..., Self Care, Electrolysis, Cross Selling, A/R collections, Florida Notary, Criminal Defense..., Certified Esthetic..., Property Management..., Project Coordination, Contract Negotiation, Contractors, Direct Sales, Research, Multifamily Development, Charity Fundraising, Customer Service, Problem Solving, Fundraising, Strategic Planning, Healthcare, Leadership, Marketing Strategy, Team Building
Education
University of Florida
Bachelor of Applied Science (BASc), Industrial and Organizational Psychology
Florida International University
Paralegal
The More Group (Multifamily development) February 2015 - Present
Integrative Dermatology February 2012 - March 2013
FINRA - Financial Industry Regulatory Authority 2010 - 2011
American Realtime Court Reporters 2008 - 2010
Lavalle, Brown, Ronan & Mullins, P.A. 1985 - 2009
Skills
Management, Organizational..., Highly detail oriented, Customer-focused Service, Community Outreach, Human Resources, Client Development, Integrity, Esthetician, Creative Problem Solving, Volunteering, Public Speaking, Operations Management, Communication Skills, Business Networking, Client Concierge, Proactive self-starter, Sales, Real Estate License, Document Drafting, Marketing, Certified Medical..., Self Care, Electrolysis, Cross Selling, A/R collections, Florida Notary, Criminal Defense..., Certified Esthetic..., Property Management..., Project Coordination, Contract Negotiation, Contractors, Direct Sales, Research, Multifamily Development, Charity Fundraising, Customer Service, Problem Solving, Fundraising, Strategic Planning, Healthcare, Leadership, Marketing Strategy, Team Building
Education
University of Florida
Bachelor of Applied Science (BASc), Industrial and Organizational Psychology
Florida International University
Paralegal
Gregg Lipson's FINRA (Financial Industry Regulatory Authority) Experience January 2008 - December 2012
Job Senior Systems Analyst at AAMC
Industry Information Technology and Services
Experience
AAMC (Association of American Medical Colleges) June 2013 - Present
FINRA (Financial Industry Regulatory Authority) January 2008 - December 2012
Number Six Software July 2007 - January 2008
SAIC September 2006 - May 2007
IBM January 2005 - June 2006
Intrev, Inc. October 2003 - January 2005
Sussex Systems, Inc. 1999 - 2003
Skills
SOA, Agile, Enterprise Architecture, Modeling, ESB, Social Business Process..., Requirements Analysis, Integration, Systems Analysis, SDLC, Scrum, Business Process Design, Solution Architecture, System Architecture, Business Process..., IT Strategy, Software Development, Business Intelligence, Agile Methodologies, BPMN, BPMN 2.0, XML, XML Schema, XML Schema Design, Process Improvement, RUP, Enterprise Software, Business Analysis, Business Process, Business Requirements, Testing, UML, Architecture
Education
University of Maryland - Robert H. Smith School of Business 1997 — 1999
Master of Business Administration (MBA), Information Technology
University of Maryland - Robert H. Smith School of Business 1997 — 1999
MBA/MS, Decision Information Technology, A
AAMC (Association of American Medical Colleges) June 2013 - Present
FINRA (Financial Industry Regulatory Authority) January 2008 - December 2012
Number Six Software July 2007 - January 2008
SAIC September 2006 - May 2007
IBM January 2005 - June 2006
Intrev, Inc. October 2003 - January 2005
Sussex Systems, Inc. 1999 - 2003
Skills
SOA, Agile, Enterprise Architecture, Modeling, ESB, Social Business Process..., Requirements Analysis, Integration, Systems Analysis, SDLC, Scrum, Business Process Design, Solution Architecture, System Architecture, Business Process..., IT Strategy, Software Development, Business Intelligence, Agile Methodologies, BPMN, BPMN 2.0, XML, XML Schema, XML Schema Design, Process Improvement, RUP, Enterprise Software, Business Analysis, Business Process, Business Requirements, Testing, UML, Architecture
Education
University of Maryland - Robert H. Smith School of Business 1997 — 1999
Master of Business Administration (MBA), Information Technology
University of Maryland - Robert H. Smith School of Business 1997 — 1999
MBA/MS, Decision Information Technology, A
Aleksandra Sterina Aleksandra Sterina's FINRA (Financial Industry Regulatory Authority) Experience May 2008 - August 2008
Job Senior Tax Associate at Ernst & Young
Industry Law Practice
Experience
Ernst & Young October 2012 - Present
Low Income Taxpayer Clinic - Albany Law School Clinic & Justice Center January 2012 - April 2012
United States Bankruptcy Court August 2011 - December 2011
NYC Department of Finance May 2011 - July 2011
Securities Arbitration Clinic - Albany Law School Clinic & Justice Center August 2010 - December 2010
Deutsche Bank June 2010 - August 2010
The New York State Assembly January 2009 - May 2009
FINRA - Financial Industry Regulatory Authority May 2008 - August 2008
Skills
Legal Research, Legal Writing, Courts, Research, Litigation, Tax Law
Education
Albany Law School of Union University 2009 — 2012
J.D., Business Law
University at Albany, SUNY 2005 — 2009
B.S., Finance, Marketing, Financial Market Regulation
Ernst & Young October 2012 - Present
Low Income Taxpayer Clinic - Albany Law School Clinic & Justice Center January 2012 - April 2012
United States Bankruptcy Court August 2011 - December 2011
NYC Department of Finance May 2011 - July 2011
Securities Arbitration Clinic - Albany Law School Clinic & Justice Center August 2010 - December 2010
Deutsche Bank June 2010 - August 2010
The New York State Assembly January 2009 - May 2009
FINRA - Financial Industry Regulatory Authority May 2008 - August 2008
Skills
Legal Research, Legal Writing, Courts, Research, Litigation, Tax Law
Education
Albany Law School of Union University 2009 — 2012
J.D., Business Law
University at Albany, SUNY 2005 — 2009
B.S., Finance, Marketing, Financial Market Regulation
Myrna Mitchell, MA's FINRA (Financial Industry Regulatory Authority) Experience 2006 - Present
Job HR Senior Associate
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) HR Program AdministratorFINRAMay 2006 - Present
FINRA (Financial Industry Regulatory Authority) 2006 - Present
Microsoft 2001 - 2003
Net2000 1998 - 1999
Sprint Spectrum APC 1996 - 1997
Skills
Management, Microsoft Office, Leadership, Customer Service, Program Management, Team Building, Human Resources, Vendor Management, Microsoft Word, SDLC
Education
University of Maryland University College 2006 — 2009
Masters, Human Resource Management
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
Financial Industry Regulatory Authority (FINRA) HR Program AdministratorFINRAMay 2006 - Present
FINRA (Financial Industry Regulatory Authority) 2006 - Present
Microsoft 2001 - 2003
Net2000 1998 - 1999
Sprint Spectrum APC 1996 - 1997
Skills
Management, Microsoft Office, Leadership, Customer Service, Program Management, Team Building, Human Resources, Vendor Management, Microsoft Word, SDLC
Education
University of Maryland University College 2006 — 2009
Masters, Human Resource Management
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
University of Maryland College Park 1985 — 1989
Bachelor of Arts (B.A.), Sociology
Alex Delpleche's FINRA (Financial Industry Regulatory Authority) Experience May 2010 - Present
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) May 2010 - Present
Fidelity Investment January 2007 - May 2010
Fidelity Investments October 2005 - January 2007
Fidelity Investments April 2004 - October 2005
Education
Babson College - Franklin W. Olin Graduate School of Business 2014 — 2016
Master of Business Administration (MBA)
Isenberg School of Management, UMass Amherst 1999 — 2003
B.S.B.A, Sports Marketing
FINRA (Financial Industry Regulatory Authority) May 2010 - Present
Fidelity Investment January 2007 - May 2010
Fidelity Investments October 2005 - January 2007
Fidelity Investments April 2004 - October 2005
Education
Babson College - Franklin W. Olin Graduate School of Business 2014 — 2016
Master of Business Administration (MBA)
Isenberg School of Management, UMass Amherst 1999 — 2003
B.S.B.A, Sports Marketing
Gillian Rosenstein's FINRA (Financial Industry Regulatory Authority) Experience February 2007 - December 2009
Job Project Manager at FINRA
Industry Education Management
Experience
FINRA January 2010 - Present
FINRA - Financial Industry Regulatory Authority February 2007 - December 2009
National Association of Securities Dealers, Inc. (NASD) April 2006 - February 2007
Thomson / NETg October 2003 - December 2004
FinancialCampus November 2001 - October 2003
Kitt Peak, National Optical Astronomy Observatories October 1995 - December 2000
Skills
Social Media, Data Analysis, Program Management, Content Development, Project Management, Training, E-Learning, Microsoft Office, Analysis, Nonprofits, HTML, Software Development, Content Management, Requirements Analysis, Project Planning, Research, Software Project..., Software Documentation, Public Relations, Editing, Vendor Management, Human Resources, Leadership, Management, Change Management, Business Analysis, Management Consulting, Process Improvement, Team Leadership, Strategy
Education
Smith College 1991 — 1995
B.A.
Smith College 1991 — 1995
A.B.
FINRA January 2010 - Present
FINRA - Financial Industry Regulatory Authority February 2007 - December 2009
National Association of Securities Dealers, Inc. (NASD) April 2006 - February 2007
Thomson / NETg October 2003 - December 2004
FinancialCampus November 2001 - October 2003
Kitt Peak, National Optical Astronomy Observatories October 1995 - December 2000
Skills
Social Media, Data Analysis, Program Management, Content Development, Project Management, Training, E-Learning, Microsoft Office, Analysis, Nonprofits, HTML, Software Development, Content Management, Requirements Analysis, Project Planning, Research, Software Project..., Software Documentation, Public Relations, Editing, Vendor Management, Human Resources, Leadership, Management, Change Management, Business Analysis, Management Consulting, Process Improvement, Team Leadership, Strategy
Education
Smith College 1991 — 1995
B.A.
Smith College 1991 — 1995
A.B.
Lena Kayzman's FINRA (Financial Industry Regulatory Authority) Experience 2009 - Present
Job Product Manager/Business Analyst
Industry Information Technology and Services
Experience
FINRA (Financial Industry Regulatory Authority) 2009 - Present
NYSE Euronext 2006 - Present
Gemini Systems December 1997 - Present
lifetime television 1996 - 1998
Lifetime Television for Women May 1996 - December 1997
Education
NYU SPCS - Business Project Management 2003 — 2004
Certification, Business Project Management
Voronezh State Technical University 1987 — 1992
B.S., Computer Science
FINRA (Financial Industry Regulatory Authority) 2009 - Present
NYSE Euronext 2006 - Present
Gemini Systems December 1997 - Present
lifetime television 1996 - 1998
Lifetime Television for Women May 1996 - December 1997
Education
NYU SPCS - Business Project Management 2003 — 2004
Certification, Business Project Management
Voronezh State Technical University 1987 — 1992
B.S., Computer Science
Donald Sullivan's FINRA (Financial Industry Regulatory Authority) Experience May 2005 - Present
Job Senior Counsel at FINRA
Industry Capital Markets
Experience
FINRA (Financial Industry Regulatory Authority) May 2005 - Present
New York City Law Department July 1998 - April 2005
Education
New York Law School 1990 — 1994
FINRA (Financial Industry Regulatory Authority) May 2005 - Present
New York City Law Department July 1998 - April 2005
Education
New York Law School 1990 — 1994
Audria Pendergrass Lee's FINRA (Financial Industry Regulatory Authority) Experience March 2009 - Present
Job Director, Diversity and WorkLife at FINRA Financial Industry Regulatory Authority
Industry Financial Services
Experience
FINRA - Financial Industry Regulatory Authority March 2009 - Present
U.S. Foodservice May 2007 - March 2009
Sylvan Learning, Inc. August 2000 - February 2007
Skills
Training, Team Building, Talent Management, Strategic Planning, Staff Development, Public Speaking, Program Management, Program Development, Process Improvement, Management, Leadership Development, Leadership, Employee Training, Change Management, Coaching, Event Planning, Organizational...
Education
University of Phoenix - Columbia, MD 2002 — 2004
MA, Organizational Management
University of South Carolina-Columbia 1993 — 1996
BA, Political Science
Fayetteville State University 1990 — 1993
FINRA - Financial Industry Regulatory Authority March 2009 - Present
U.S. Foodservice May 2007 - March 2009
Sylvan Learning, Inc. August 2000 - February 2007
Skills
Training, Team Building, Talent Management, Strategic Planning, Staff Development, Public Speaking, Program Management, Program Development, Process Improvement, Management, Leadership Development, Leadership, Employee Training, Change Management, Coaching, Event Planning, Organizational...
Education
University of Phoenix - Columbia, MD 2002 — 2004
MA, Organizational Management
University of South Carolina-Columbia 1993 — 1996
BA, Political Science
Fayetteville State University 1990 — 1993
Mike (Gi Yong) Kim, CPA's FINRA (Financial Industry Regulatory Authority) Experience March 2011 - Present
Job Examination Manager at FINRA (Financial Industry Regulatory Authority), CFA Level II Candidate
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) March 2011 - Present
AXA Equitable August 2007 - March 2011
Skills
Internal Controls, Internal Audit, Sarbanes-Oxley Act, Auditing, Financial Analysis, Financial Reporting, SEC filings, Financial Risk, Accounting, Risk Management, Due Diligence, Operational Risk..., Enterprise Risk..., Securities Regulation, Broker-Dealer, Corporate Finance, Financial Services, Account Reconciliation, Financial Audits, Securities, CPA, FINRA, SAS70
Education
City University of New York-Baruch College 2005 — 2007
Bachelor's degree, Accounting
FINRA (Financial Industry Regulatory Authority) March 2011 - Present
AXA Equitable August 2007 - March 2011
Skills
Internal Controls, Internal Audit, Sarbanes-Oxley Act, Auditing, Financial Analysis, Financial Reporting, SEC filings, Financial Risk, Accounting, Risk Management, Due Diligence, Operational Risk..., Enterprise Risk..., Securities Regulation, Broker-Dealer, Corporate Finance, Financial Services, Account Reconciliation, Financial Audits, Securities, CPA, FINRA, SAS70
Education
City University of New York-Baruch College 2005 — 2007
Bachelor's degree, Accounting
Michael S. Choi's FINRA (Financial Industry Regulatory Authority) Experience July 2007 - Present
Job Director, Department of Enforcement
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
NYSE Regulation, Inc. November 2003 - July 2007
Deloitte & Touche LLC October 2002 - November 2003
Kings County District Attorney's Office October 1997 - October 2002
Education
Saint John's University School of Law 1994 — 1997
JD
University of California, Los Angeles 1989 — 1993
BA, Political Science
Yonsei University 1990 — 1990
FINRA (Financial Industry Regulatory Authority) July 2007 - Present
NYSE Regulation, Inc. November 2003 - July 2007
Deloitte & Touche LLC October 2002 - November 2003
Kings County District Attorney's Office October 1997 - October 2002
Education
Saint John's University School of Law 1994 — 1997
JD
University of California, Los Angeles 1989 — 1993
BA, Political Science
Yonsei University 1990 — 1990
Karen Dickey's FINRA (Financial Industry Regulatory Authority) Experience March 2009 - April 2013
Job Sr HR Business Partner at Ditech Mortgage Corporation
Industry Human Resources
Experience
Ditech Mortgage Corporation April 2013 - Present
FINRA (Financial Industry Regulatory Authority) March 2009 - April 2013
LandAmerica March 2005 - February 2009
Barnes Distribution 1999 - 2005
Risk Enterprise Management 1991 - 1999
Home Insurance Company 1990 - 1999
Skills
Talent Management, Employee Relations, Onboarding, Performance Management, Employee Engagement, Succession Planning, HRIS, Employee Benefits, Workforce Planning, Deferred Compensation, Talent Acquisition
Education
Arizona State University
BA, Elem Educ/Math
Pepperdine University, The George L. Graziadio School of Business and Management
MBA, Business
Ditech Mortgage Corporation April 2013 - Present
FINRA (Financial Industry Regulatory Authority) March 2009 - April 2013
LandAmerica March 2005 - February 2009
Barnes Distribution 1999 - 2005
Risk Enterprise Management 1991 - 1999
Home Insurance Company 1990 - 1999
Skills
Talent Management, Employee Relations, Onboarding, Performance Management, Employee Engagement, Succession Planning, HRIS, Employee Benefits, Workforce Planning, Deferred Compensation, Talent Acquisition
Education
Arizona State University
BA, Elem Educ/Math
Pepperdine University, The George L. Graziadio School of Business and Management
MBA, Business
Donna Nichtern's FINRA (Financial Industry Regulatory Authority) Experience 2005 - 2009
Job Senior Application Programmer at Citi
Industry Financial Services
Experience
Citi 2010 - Present
CITI -COMPLIANCE TECHNOLOGY 2010 - Present
FINRA - FINANCIAL INDUSTRY REGULATORY AUTHORITY 2005 - 2009
SIAC January 1999 - January 2005
Morgan Stanley January 1998 - January 1999
SMITH BARNEY January 1995 - January 1998
Lehman Brothers January 1993 - January 1994
Morgan Stanley January 1992 - January 1993
Skills
Requirements Analysis, SDLC, Data Warehousing, Databases, SQL
Education
Marist College 1982 — 1986
BS, Computer Science, Business
Citi 2010 - Present
CITI -COMPLIANCE TECHNOLOGY 2010 - Present
FINRA - FINANCIAL INDUSTRY REGULATORY AUTHORITY 2005 - 2009
SIAC January 1999 - January 2005
Morgan Stanley January 1998 - January 1999
SMITH BARNEY January 1995 - January 1998
Lehman Brothers January 1993 - January 1994
Morgan Stanley January 1992 - January 1993
Skills
Requirements Analysis, SDLC, Data Warehousing, Databases, SQL
Education
Marist College 1982 — 1986
BS, Computer Science, Business
Jennifer Friedland's FINRA (Financial Industry Regulatory Authority) Experience May 2009 - August 2009
Job Chief Compliance Officer at WestEnd Advisors, LLC
Industry Financial Services
Experience
WestEnd Advisors, LLC January 2013 - Present
WestEnd Advisors, LLC January 2011 - Present
Office of the Attorney General - State of California August 2009 - December 2009
FINRA - Financial Industry Regulatory Authority May 2009 - August 2009
The Estate Management Group, Inc July 2008 - April 2009
DeVita Kavanagh - Northwestern Mutual Financial Network November 2004 - June 2007
CompHealth November 2001 - July 2003
Environmental Data Resources, Inc August 1996 - September 2001
Education
Southwestern Law School 2007 — 2010
Juris Doctor
University of North Carolina at Charlotte 2005 — 2007
B.S. Magna Cum Laude, Psychology and Cognitve Science
WestEnd Advisors, LLC January 2013 - Present
WestEnd Advisors, LLC January 2011 - Present
Office of the Attorney General - State of California August 2009 - December 2009
FINRA - Financial Industry Regulatory Authority May 2009 - August 2009
The Estate Management Group, Inc July 2008 - April 2009
DeVita Kavanagh - Northwestern Mutual Financial Network November 2004 - June 2007
CompHealth November 2001 - July 2003
Environmental Data Resources, Inc August 1996 - September 2001
Education
Southwestern Law School 2007 — 2010
Juris Doctor
University of North Carolina at Charlotte 2005 — 2007
B.S. Magna Cum Laude, Psychology and Cognitve Science
Lucy Syed's FINRA (Financial Industry Regulatory Authority) Experience April 2005 - Present
Job Experienced Compliance Professional
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) April 2005 - Present
Skills
SEC & FINRA Rules, Broker-Dealer Compliance, Securities Regulation, Equity Trading, Mutual Funds, Securities, Hedge Funds
Education
American University - Kogod School of Business
MBA
Penn State University
B.A.
FINRA (Financial Industry Regulatory Authority) April 2005 - Present
Skills
SEC & FINRA Rules, Broker-Dealer Compliance, Securities Regulation, Equity Trading, Mutual Funds, Securities, Hedge Funds
Education
American University - Kogod School of Business
MBA
Penn State University
B.A.
Dale Glanzman's FINRA (Financial Industry Regulatory Authority) Experience 1998 - Present
Job Senior Regional Counsel at FINRA
Industry Financial Services
Experience
FINRA (Financial Industry Regulatory Authority) 1998 - Present
Skills
FINRA, Securities Regulation, Litigation, Financial Regulation, Securities, Securities Litigation, AML, Broker-Dealer, Corporate Governance, Civil Litigation, Risk Management
Education
Drake University Law School 1978 — 1981
JD, Law
Drake University 1974 — 1978
BFA, Speech Communication
FINRA (Financial Industry Regulatory Authority) 1998 - Present
Skills
FINRA, Securities Regulation, Litigation, Financial Regulation, Securities, Securities Litigation, AML, Broker-Dealer, Corporate Governance, Civil Litigation, Risk Management
Education
Drake University Law School 1978 — 1981
JD, Law
Drake University 1974 — 1978
BFA, Speech Communication
Sara- Dede Metayer's FINRA (Financial Industry Regulatory Authority) Experience July 2010 - January 2011
Job Office Manager/Technical Assistant at AECOM / Haider Engineering
Industry Higher Education
Experience
AECOM January 2014 - Present
Haider Engineering 2011 - 2014
HAIDER ENGINEERING March 2011 - August 2013
Hazen and Sawyer, P.C January 2011 - March 2011
FINRA (Financial Industry Regulatory Authority July 2010 - January 2011
Hofstra University School of Law July 2009 - May 2010
Advantis Healthcare Solutions April 2009 - July 2009
UBS Investment Bank April 2006 - October 2008
REID SYSTEMS October 2004 - March 2006
Bank of Bermuda May 2004 - October 2004
Skills
Management, Office Administration, Office Management, Microsoft Office, Administrative..., Budgets, Outlook, Process Scheduler, Payroll, Software Documentation, Data Entry, Invoicing
Education
Norfolk State University
Accounting and Business Management
AECOM January 2014 - Present
Haider Engineering 2011 - 2014
HAIDER ENGINEERING March 2011 - August 2013
Hazen and Sawyer, P.C January 2011 - March 2011
FINRA (Financial Industry Regulatory Authority July 2010 - January 2011
Hofstra University School of Law July 2009 - May 2010
Advantis Healthcare Solutions April 2009 - July 2009
UBS Investment Bank April 2006 - October 2008
REID SYSTEMS October 2004 - March 2006
Bank of Bermuda May 2004 - October 2004
Skills
Management, Office Administration, Office Management, Microsoft Office, Administrative..., Budgets, Outlook, Process Scheduler, Payroll, Software Documentation, Data Entry, Invoicing
Education
Norfolk State University
Accounting and Business Management
Arielle Foni's FINRA (Financial Industry Regulatory Authority) Experience May 2013 - September 2013
Job Student at Benjamin N. Cardozo School of Law
Industry Law Practice
Experience
FINRA (Financial Industry Regulatory Authority) May 2013 - September 2013
American Stock, Transfer & Trust Company, LLC September 2012 - December 2012
Hon. Jill Konviser, New York State Supreme Court, Criminal Term May 2012 - August 2012
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
J.D.
Brandeis University 2008 — 2011
Bachelor of Arts (BA), Economics
FINRA (Financial Industry Regulatory Authority) May 2013 - September 2013
American Stock, Transfer & Trust Company, LLC September 2012 - December 2012
Hon. Jill Konviser, New York State Supreme Court, Criminal Term May 2012 - August 2012
Education
Benjamin N. Cardozo School of Law, Yeshiva University 2011 — 2014
J.D.
Brandeis University 2008 — 2011
Bachelor of Arts (BA), Economics
Patricia Albrecht's FINRA (Financial Industry Regulatory Authority) Experience June 2002 - February 2014
Job Senior Director at FINRA Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority March 2014 - Present
FINRA - Financial Industry Regulatory Authority June 2002 - February 2014
U.S. Securities and Exchange Commission May 2000 - June 2002
U.S. Securities and Exchange Commission February 2000 - May 2000
U.S. Securities and Exchange Commission July 1998 - February 2000
U.S. Court of Appeals for the Fifth Circuit July 1992 - July 1998
U. S. District Court for the Western District of Texas August 1991 - July 1992
Skills
Securities Regulation, FINRA, Securities, Corporate Governance, Securities Litigation, Financial Regulation, Broker-Dealer, AML, SEC, Corporate Law, Litigation, Legal Research, Series 24, Arbitration, FCPA
Education
The University of Texas School of Law 1988 — 1991
Doctor of Law (J.D.)
Angelo State University 1984 — 1987
Bachelor of Arts (B.A.), Political Science and Government
Financial Industry Regulatory Authority March 2014 - Present
FINRA - Financial Industry Regulatory Authority June 2002 - February 2014
U.S. Securities and Exchange Commission May 2000 - June 2002
U.S. Securities and Exchange Commission February 2000 - May 2000
U.S. Securities and Exchange Commission July 1998 - February 2000
U.S. Court of Appeals for the Fifth Circuit July 1992 - July 1998
U. S. District Court for the Western District of Texas August 1991 - July 1992
Skills
Securities Regulation, FINRA, Securities, Corporate Governance, Securities Litigation, Financial Regulation, Broker-Dealer, AML, SEC, Corporate Law, Litigation, Legal Research, Series 24, Arbitration, FCPA
Education
The University of Texas School of Law 1988 — 1991
Doctor of Law (J.D.)
Angelo State University 1984 — 1987
Bachelor of Arts (B.A.), Political Science and Government
Susan Bash's FINRA (Financial Industry Regulatory Authority) Experience May 2005 - November 2009
Job Customer Engagement Specialist at Electrolux
Industry Financial Services
Experience
Electrolux November 2011 - Present
Electrolux Home Products November 2011 - April 2015
Leafstone Staffing Services July 2010 - April 2015
FINRA (Financial Industry Regulatory Authority) May 2005 - November 2009
Susan E May 2005 - November 2009
Guardian Life Insurance August 2003 - April 2005
Kelly Temporary Services Inc August 2003 - April 2005
Royal Alliance Associates January 2000 - January 2003
Education
Albany State University 1976 — 1979
Liberal Arts and Sciences/Liberal Studies
University at Albany, SUNY 1976 — 1979
Electrolux November 2011 - Present
Electrolux Home Products November 2011 - April 2015
Leafstone Staffing Services July 2010 - April 2015
FINRA (Financial Industry Regulatory Authority) May 2005 - November 2009
Susan E May 2005 - November 2009
Guardian Life Insurance August 2003 - April 2005
Kelly Temporary Services Inc August 2003 - April 2005
Royal Alliance Associates January 2000 - January 2003
Education
Albany State University 1976 — 1979
Liberal Arts and Sciences/Liberal Studies
University at Albany, SUNY 1976 — 1979
Matthew Olund's FINRA (Financial Industry Regulatory Authority) Experience June 2010 - May 2012
Job Vice President Internal Audit at JPMorgan Chase & Co.
Industry Financial Services
Experience
JPMorgan Chase & Co. January 2015 - Present
Macquarie Group May 2014 - January 2015
Barclays May 2012 - May 2014
FINRA (Financial Industry Regulatory Authority) June 2010 - May 2012
Susquehanna International Group April 2007 - June 2010
Vanguard April 2005 - April 2007
Skills
Equities, Fixed Income, Options, Trading, Internal Audit, Investments, Investment Banking, FINRA, Series 3, 4, 7, 24, 55,..., CAMS
Education
University of Pennsylvania 2000 — 2004
Bachelor's degree, Economics
JPMorgan Chase & Co. January 2015 - Present
Macquarie Group May 2014 - January 2015
Barclays May 2012 - May 2014
FINRA (Financial Industry Regulatory Authority) June 2010 - May 2012
Susquehanna International Group April 2007 - June 2010
Vanguard April 2005 - April 2007
Skills
Equities, Fixed Income, Options, Trading, Internal Audit, Investments, Investment Banking, FINRA, Series 3, 4, 7, 24, 55,..., CAMS
Education
University of Pennsylvania 2000 — 2004
Bachelor's degree, Economics
Angela Della Universita's FINRA (Financial Industry Regulatory Authority) Experience July 2007 - May 2014
Job Senior Forensic Auditor at Thacher Associates, LLC
Industry Financial Services
Experience
Thacher Associates, LLC June 2014 - Present
Financial Industry Regulatory Authority July 2007 - May 2014
FINRA - Financial Industry Regulatory Authority July 2007 - May 2014
Precision Payroll September 2006 - June 2007
Loral Skynet May 2006 - August 2006
Skills
Broker-Dealer, SEC, Securities, Financial Regulation, Securities Regulation, SEC filings, Investments, Financial Analysis, Due Diligence, Financial Reporting, Bloomberg, Finance
Education
Baruch College 2009 — 2012
Master's degree, Accounting
Wagner College 2003 — 2007
Bachelor of Science (BS), Accounting
Thacher Associates, LLC June 2014 - Present
Financial Industry Regulatory Authority July 2007 - May 2014
FINRA - Financial Industry Regulatory Authority July 2007 - May 2014
Precision Payroll September 2006 - June 2007
Loral Skynet May 2006 - August 2006
Skills
Broker-Dealer, SEC, Securities, Financial Regulation, Securities Regulation, SEC filings, Investments, Financial Analysis, Due Diligence, Financial Reporting, Bloomberg, Finance
Education
Baruch College 2009 — 2012
Master's degree, Accounting
Wagner College 2003 — 2007
Bachelor of Science (BS), Accounting
John Alter's FINRA (Financial Industry Regulatory Authority) Experience 2014 - Present
Job
Industry Financial Services
Experience
FINRA Financial Industry Regulatory Authority 2014 - Present
Intercontinental Exchange 2013 - 2014
Knipfing Asphalt Solutions 2012 - 2013
Integral Derivatives January 2004 - February 2011
El Lobo Trading 1993 - 2001
Skills
Options, Equity Trading, Electronic Trading, Equity Derivatives, Equities, Trading, Trading Systems, Securities, Hedge Funds, Series 7, Alternative Investments, Asset Management, Financial Markets, Mutual Funds, Investments, Series 24, Derivatives, Series 63, Bloomberg, Fixed Income, FINRA, Portfolio Management, Commodity, ETFs, Hedging, Capital Markets, Bonds, Investment Management, Financial Modeling, Structured Products, Risk Management, Proprietary Trading, Investment Strategies, Trading Strategies, FX Options, Technical Analysis, Stocks, Investment Banking, Wealth Management, Bloomberg Terminal, Asset Allocation, Options Strategies, Valuation, Equity Research, Foreign Exchange, Brokerage, Investment Advisory, Currency, Regulatory Compliance
Education
Furman University 1979 — 1983
Bachelor of Arts (BA), Business Administration and Management, General
FINRA Financial Industry Regulatory Authority 2014 - Present
Intercontinental Exchange 2013 - 2014
Knipfing Asphalt Solutions 2012 - 2013
Integral Derivatives January 2004 - February 2011
El Lobo Trading 1993 - 2001
Skills
Options, Equity Trading, Electronic Trading, Equity Derivatives, Equities, Trading, Trading Systems, Securities, Hedge Funds, Series 7, Alternative Investments, Asset Management, Financial Markets, Mutual Funds, Investments, Series 24, Derivatives, Series 63, Bloomberg, Fixed Income, FINRA, Portfolio Management, Commodity, ETFs, Hedging, Capital Markets, Bonds, Investment Management, Financial Modeling, Structured Products, Risk Management, Proprietary Trading, Investment Strategies, Trading Strategies, FX Options, Technical Analysis, Stocks, Investment Banking, Wealth Management, Bloomberg Terminal, Asset Allocation, Options Strategies, Valuation, Equity Research, Foreign Exchange, Brokerage, Investment Advisory, Currency, Regulatory Compliance
Education
Furman University 1979 — 1983
Bachelor of Arts (BA), Business Administration and Management, General
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
FINRA