NASD 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. Tax ID: 53-0088710 Headquarters: Washington, D.C. CEO: Robert W. Cook (Aug 2016–) Founded: July 30, 2007 Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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NASD Employees
Employee
Years
Job
Industry
Chris Starrs Chris Starrs's NASD Experience January 1997 - May 1999
Job Senior Principal Secure Systems Engineer at BAE
Industry Information Technology and Services
Experience
BAE Systems Information Technology April 2012 - Present
WTS, Inc. August 2010 - March 2012
Three Pillar Global, Inc. 2009 - August 2010
Integrity One Partners May 2002 - December 2008
VLinkSolutions June 2001 - January 2002
Winstar Communications May 2000 - June 2001
PSINet May 1999 - April 2000
NASD January 1997 - May 1999
HLI February 1994 - January 1997
Skills
Cloud Computing, Agile Methodologies, Enterprise Architecture, Information Security, Information Technology, Integration, IT Strategy, Requirements Analysis, Solution Architecture, Web Services, Systems Engineering, SDLC, Information Assurance, Computer Security, Disaster Recovery, Security, Program Management
Education
University of Maryland University College 2008 — 2011
MS, Information Technology-Information Assurance
Franciscan University of Steubenville 1985 — 1989
BAE Systems Information Technology April 2012 - Present
WTS, Inc. August 2010 - March 2012
Three Pillar Global, Inc. 2009 - August 2010
Integrity One Partners May 2002 - December 2008
VLinkSolutions June 2001 - January 2002
Winstar Communications May 2000 - June 2001
PSINet May 1999 - April 2000
NASD January 1997 - May 1999
HLI February 1994 - January 1997
Skills
Cloud Computing, Agile Methodologies, Enterprise Architecture, Information Security, Information Technology, Integration, IT Strategy, Requirements Analysis, Solution Architecture, Web Services, Systems Engineering, SDLC, Information Assurance, Computer Security, Disaster Recovery, Security, Program Management
Education
University of Maryland University College 2008 — 2011
MS, Information Technology-Information Assurance
Franciscan University of Steubenville 1985 — 1989
Dana Kearney Dana Kearney's NASD Experience 2003 - 2005
Job Sr. Business Analyst
Industry Information Technology and Services
Experience
Modis April 2015 - Present
Technology Ventures October 2014 - February 2015
LongView International Technology Solutions November 2012 - May 2014
CGI - Federal September 2010 - August 2012
Electronic Consulting Services, Inc. December 2008 - September 2010
Carlisle Collection 2008 - 2009
CNSI September 2007 - October 2008
ECCO Select 2006 - 2007
NASD 2003 - 2005
Freddie Mac 2002 - 2003
Skills
Business Analysis, Requirements Analysis, SharePoint, SDLC, Program Management, Business Process..., Agile Methodologies, Analysis, Business Process, IT Strategy, Integration, PMO, PMP, Process Improvement, Quality Assurance, Requirements Gathering, Software Documentation, Visio
Education
American University 1982 — 1986
High School
University of Maryland University College
Modis April 2015 - Present
Technology Ventures October 2014 - February 2015
LongView International Technology Solutions November 2012 - May 2014
CGI - Federal September 2010 - August 2012
Electronic Consulting Services, Inc. December 2008 - September 2010
Carlisle Collection 2008 - 2009
CNSI September 2007 - October 2008
ECCO Select 2006 - 2007
NASD 2003 - 2005
Freddie Mac 2002 - 2003
Skills
Business Analysis, Requirements Analysis, SharePoint, SDLC, Program Management, Business Process..., Agile Methodologies, Analysis, Business Process, IT Strategy, Integration, PMO, PMP, Process Improvement, Quality Assurance, Requirements Gathering, Software Documentation, Visio
Education
American University 1982 — 1986
High School
University of Maryland University College
John Withington John Withington's NASD Experience August 1997 - March 2007
Job
Industry Financial Services
Experience
NASD August 1997 - March 2007
Fidelity & Deposit March 1996 - July 1997
Fannie Mae August 1983 - May 1995
Touche Ross & Co September 1979 - August 1983
Maryland Department of Transportation December 1971 - September 1979
U.S. Army Infantry April 1970 - December 1971
Education
University of Baltimore 1975 — 1979
B.S., Accounting
Anne Arundel Community College 1969 — 1975
A.A., Data Processing
NASD August 1997 - March 2007
Fidelity & Deposit March 1996 - July 1997
Fannie Mae August 1983 - May 1995
Touche Ross & Co September 1979 - August 1983
Maryland Department of Transportation December 1971 - September 1979
U.S. Army Infantry April 1970 - December 1971
Education
University of Baltimore 1975 — 1979
B.S., Accounting
Anne Arundel Community College 1969 — 1975
A.A., Data Processing
Christopher Steel Christopher Steel's NASD Experience July 2005 - January 2007
Job Chief Solutions Architect at Software AG
Industry Computer Software
Experience
Software AG August 2013 - Present
FortMoon Consulting June 2005 - August 2013
Firejack Technologies November 2012 - May 2013
Freddie Mac January 2012 - November 2012
Ivory Cloud June 2011 - May 2012
JackBe Corporation April 2010 - January 2012
GXS October 2007 - September 2009
NASD July 2005 - January 2007
TIBCO 2007 - 2007
Financial Industry Regulatory Authority-FINRA 2005 - 2007
Skills
SOA, Java, Web 2.0, Application Architecture, Mashups, Software Development..., Enterprise Software, Cloud Computing, Enterprise Architecture, Security, Agile, SaaS, Program Management, Software Development, Web Services, XML, System Architecture, J2EE, Governance, Spring, Software Engineering, Linux, UML, MySQL, Solution Architecture, Unix, IT Strategy, Hibernate, Integration, JavaScript, Virtualization, Business Intelligence, Distributed Systems, JSP, Product Management, Scrum, Coaching, Solaris, User Interface Design, Agile Methodologies, Java Enterprise Edition, SDLC, Software Project..., Open Source, Big Data, Amazon Web Services..., Cloud Security, Cloud Computing IaaS, Scalability, Web Applications
Education
Dickinson College 1986 — 1990
BS, Physics
Software AG August 2013 - Present
FortMoon Consulting June 2005 - August 2013
Firejack Technologies November 2012 - May 2013
Freddie Mac January 2012 - November 2012
Ivory Cloud June 2011 - May 2012
JackBe Corporation April 2010 - January 2012
GXS October 2007 - September 2009
NASD July 2005 - January 2007
TIBCO 2007 - 2007
Financial Industry Regulatory Authority-FINRA 2005 - 2007
Skills
SOA, Java, Web 2.0, Application Architecture, Mashups, Software Development..., Enterprise Software, Cloud Computing, Enterprise Architecture, Security, Agile, SaaS, Program Management, Software Development, Web Services, XML, System Architecture, J2EE, Governance, Spring, Software Engineering, Linux, UML, MySQL, Solution Architecture, Unix, IT Strategy, Hibernate, Integration, JavaScript, Virtualization, Business Intelligence, Distributed Systems, JSP, Product Management, Scrum, Coaching, Solaris, User Interface Design, Agile Methodologies, Java Enterprise Edition, SDLC, Software Project..., Open Source, Big Data, Amazon Web Services..., Cloud Security, Cloud Computing IaaS, Scalability, Web Applications
Education
Dickinson College 1986 — 1990
BS, Physics
Kenneth Unger Kenneth Unger's NASD Experience 1998 - 2000
Job Founder of The Academy of Preferred Financial Advisors
Industry Financial Services
Experience
Academy of Preferred Financial Advisors January 2015 - Present
Million Dollar Producer, Inc. 2000 - Present
NASD 1998 - 2000
Boston Capital 1988 - 2000
Shearson Lehman Hutton 1985 - 1988
Connecticut Mutual Financial Services 1983 - 1985
Skills
Marketing, Mutual Funds, Sales, Training, Financial Services, CRM, Business Development, Financial Planning, Selling
Education
Cornell University - Johnson Graduate School of Management
Marketing Strategy Program
Cornell University 1977 — 1981
Bachelor's degree
Academy of Preferred Financial Advisors January 2015 - Present
Million Dollar Producer, Inc. 2000 - Present
NASD 1998 - 2000
Boston Capital 1988 - 2000
Shearson Lehman Hutton 1985 - 1988
Connecticut Mutual Financial Services 1983 - 1985
Skills
Marketing, Mutual Funds, Sales, Training, Financial Services, CRM, Business Development, Financial Planning, Selling
Education
Cornell University - Johnson Graduate School of Management
Marketing Strategy Program
Cornell University 1977 — 1981
Bachelor's degree
Joe Podrazik Joe Podrazik's NASD Experience 2009 - Present
Job Technology Education TEacher at NASD
Industry Education Management
Experience
NASD 2009 - Present
Souderton Area High School September 2003 - March 2009
Verizon Yellow Pages May 1989 - November 2001
Skills
Educational Technology, Teaching, Curriculum Development, Instructional Technology, Curriculum Design, Instructional Design, Classroom, Educational Leadership, Technology Education, K-12, Staff Development, Teacher Training, Technology Integration, Lesson Planning, Classroom Management, Elementary Education, Higher Education, Differentiated...
Education
Drexel University 2004 — 2006
Masters of Science, Publication Management
Penn State University 1976 — 1979
Bachelor of Science, Industrial Arts Education
NASD 2009 - Present
Souderton Area High School September 2003 - March 2009
Verizon Yellow Pages May 1989 - November 2001
Skills
Educational Technology, Teaching, Curriculum Development, Instructional Technology, Curriculum Design, Instructional Design, Classroom, Educational Leadership, Technology Education, K-12, Staff Development, Teacher Training, Technology Integration, Lesson Planning, Classroom Management, Elementary Education, Higher Education, Differentiated...
Education
Drexel University 2004 — 2006
Masters of Science, Publication Management
Penn State University 1976 — 1979
Bachelor of Science, Industrial Arts Education
Michael Rote Michael Rote's NASD Experience May 2007 - June 2007
Job Communications Manager at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority June 2012 - Present
Financial Industry Regulatory Authority May 2007 - June 2012
NASD May 2007 - June 2007
NASD October 2005 - May 2007
CTAM August 2002 - October 2005
Skills
Newsletters, Advertising, Editing, Marketing Communications, Marketing, Marketing Strategy, Social Media Marketing, Corporate Communications, Publications, Public Relations, Internal Communications, Management, Writing, Social Media, Event Planning, Fundraising, Press Releases, Copywriting, Analytics
Education
George Mason University 2007 — 2010
Master of Science (MS), Communication
James Madison University - College of Business 1998 — 2002
Bachelor of Business Administration (BBA), Marketing
Hayfield Secondary School 1992 — 1998
Financial Industry Regulatory Authority June 2012 - Present
Financial Industry Regulatory Authority May 2007 - June 2012
NASD May 2007 - June 2007
NASD October 2005 - May 2007
CTAM August 2002 - October 2005
Skills
Newsletters, Advertising, Editing, Marketing Communications, Marketing, Marketing Strategy, Social Media Marketing, Corporate Communications, Publications, Public Relations, Internal Communications, Management, Writing, Social Media, Event Planning, Fundraising, Press Releases, Copywriting, Analytics
Education
George Mason University 2007 — 2010
Master of Science (MS), Communication
James Madison University - College of Business 1998 — 2002
Bachelor of Business Administration (BBA), Marketing
Hayfield Secondary School 1992 — 1998
Karen Reinhardt, SPHR Karen Reinhardt, SPHR's NASD Experience 1995 - 1999
Job Director of Global HRIS, Analytics and Decision Support at Lockheed Martin
Industry Human Resources
Experience
Lockheed Martin August 2015 - Present
Lockheed Martin August 2011 - August 2015
Unisys April 2008 - August 2011
Discovery Logic 2007 - 2008
EDS, an HP Company 1999 - 2007
NASD 1995 - 1999
Pinkerton Computer Consultants 1994 - 1995
Prudential Home Mortgage 1990 - 1994
Lamarian Systems 1988 - 1990
EDS, an HP Company 1985 - 1988
Skills
Talent Management, Performance Management, Organizational..., Succession Planning, Strategic Planning, Human Resources, Consulting, Leadership, Information Technology, Strategy, Reviews, Change Management, Coaching, Recruiting, Program Management, Management, Management Consulting, Personnel Management, SDLC, Policy, IT Strategy, CRM, Budgets, Business Process..., Vendor Management, Process Improvement, Talent Acquisition, Organizational Design, Employee Engagement, Workforce Planning, Temporary Placement, Executive Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2011
Executive MBA
Lafayette College 1981 — 1985
B.A., Economics & Business, Computer Science
Lockheed Martin August 2015 - Present
Lockheed Martin August 2011 - August 2015
Unisys April 2008 - August 2011
Discovery Logic 2007 - 2008
EDS, an HP Company 1999 - 2007
NASD 1995 - 1999
Pinkerton Computer Consultants 1994 - 1995
Prudential Home Mortgage 1990 - 1994
Lamarian Systems 1988 - 1990
EDS, an HP Company 1985 - 1988
Skills
Talent Management, Performance Management, Organizational..., Succession Planning, Strategic Planning, Human Resources, Consulting, Leadership, Information Technology, Strategy, Reviews, Change Management, Coaching, Recruiting, Program Management, Management, Management Consulting, Personnel Management, SDLC, Policy, IT Strategy, CRM, Budgets, Business Process..., Vendor Management, Process Improvement, Talent Acquisition, Organizational Design, Employee Engagement, Workforce Planning, Temporary Placement, Executive Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2011
Executive MBA
Lafayette College 1981 — 1985
B.A., Economics & Business, Computer Science
Robert Moreiro Robert Moreiro's NASD Experience January 2003 - April 2003
Job Manager, AntiMoney Laundering (AML) Consulting
Industry Financial Services
Experience
Deloitte Advissory October 2014 - Present
Financial Industry Regulatory Authority (FINRA) March 2004 - September 2014
Legal Source September 2003 - February 2004
NASD January 2003 - April 2003
U.S. Securities and Exchange Commission May 2001 - August 2001
NYSE May 2000 - August 2000
Skills
Securities Regulation, Securities Litigation, Securities, FINRA, Fraud, Depositions, Financial Regulation, SEC, Broker-Dealer, Bank Secrecy Act, Certified Anti-Money..., Legal Research, Legal Writing, USA PATRIOT Act, Management, Investment Advisor..., Regulatory Compliance, KYC, Policies & Procedures..., Gap Analysis, Risk Assessment, Anti Money Laundering, Banking, Business Process..., Project Management, Securities Market, NYSE, Investment Management
Education
Georgetown University Law Center 2002 — 2003
Master of Laws (LLM), Securities & Financial Regulation
University of Miami School of Law 1999 — 2002
Doctor of Law (JD)
University of Miami - School of Business 1998 — 1999
Master of Professional Accounting
University of Miami - School of Business 1996 — 1997
Master of Business Administration (MBA), Finance
University of Florida 1986 — 1991
BSBA, Finance
Deloitte Advissory October 2014 - Present
Financial Industry Regulatory Authority (FINRA) March 2004 - September 2014
Legal Source September 2003 - February 2004
NASD January 2003 - April 2003
U.S. Securities and Exchange Commission May 2001 - August 2001
NYSE May 2000 - August 2000
Skills
Securities Regulation, Securities Litigation, Securities, FINRA, Fraud, Depositions, Financial Regulation, SEC, Broker-Dealer, Bank Secrecy Act, Certified Anti-Money..., Legal Research, Legal Writing, USA PATRIOT Act, Management, Investment Advisor..., Regulatory Compliance, KYC, Policies & Procedures..., Gap Analysis, Risk Assessment, Anti Money Laundering, Banking, Business Process..., Project Management, Securities Market, NYSE, Investment Management
Education
Georgetown University Law Center 2002 — 2003
Master of Laws (LLM), Securities & Financial Regulation
University of Miami School of Law 1999 — 2002
Doctor of Law (JD)
University of Miami - School of Business 1998 — 1999
Master of Professional Accounting
University of Miami - School of Business 1996 — 1997
Master of Business Administration (MBA), Finance
University of Florida 1986 — 1991
BSBA, Finance
Jon Hurd, CAMS Jon Hurd, CAMS's NASD Experience 1995 - 2000
Job Asgard Regulatory Group, LLC
Industry Financial Services
Experience
Asgard Regulatory Group, LLC August 2008 - Present
The Winter Group January 2006 - September 2008
North Fork Bank 2001 - 2006
Joseph Gunnar & Co., LLC 2000 - 2001
NASD 1995 - 2000
Skills
Employee Benefits, Investment Advisory, Hedge Funds, Asset Management, Benefits, Broker-Dealer, Regulatory Policy, Compliance, Asset Managment, Securitization, Investment Banking, Trading, Securities, ETFs, Mortgage Lending, FINRA, Financial Risk, AML, SEC, Capital Markets, Investments, Financial Advisory, Bloomberg, Wealth Management, Series 7, Financial Services, Finance, Risk Management, Equities, Securities Regulation, Mutual Funds, Corporate Law, Options, Financial Markets, Private Placements, Fixed Income, Equity Trading, Bonds, Investment Management
Education
Dowling College 1998 — 2000
Master of Business Administration (M.B.A.), Banking and Finance
Dowling College 1991 — 1993
Bachelor of Business Administration (B.B.A.), Accounting
Asgard Regulatory Group, LLC August 2008 - Present
The Winter Group January 2006 - September 2008
North Fork Bank 2001 - 2006
Joseph Gunnar & Co., LLC 2000 - 2001
NASD 1995 - 2000
Skills
Employee Benefits, Investment Advisory, Hedge Funds, Asset Management, Benefits, Broker-Dealer, Regulatory Policy, Compliance, Asset Managment, Securitization, Investment Banking, Trading, Securities, ETFs, Mortgage Lending, FINRA, Financial Risk, AML, SEC, Capital Markets, Investments, Financial Advisory, Bloomberg, Wealth Management, Series 7, Financial Services, Finance, Risk Management, Equities, Securities Regulation, Mutual Funds, Corporate Law, Options, Financial Markets, Private Placements, Fixed Income, Equity Trading, Bonds, Investment Management
Education
Dowling College 1998 — 2000
Master of Business Administration (M.B.A.), Banking and Finance
Dowling College 1991 — 1993
Bachelor of Business Administration (B.B.A.), Accounting
Kevin Allan Ho Kevin Allan Ho's NASD Experience 2002 - 2006
Job President, KSYS Consulting of Northern Virginia Incorporated
Industry Information Technology and Services
Experience
IBM August 2006 - Present
KSYS Consulting of Northern Virginia Incorporated August 2002 - Present
CI-SS,inc. 2011 - 2012
IBM 2006 - 2009
Abaris 2007 - 2008
LMI 2007 - 2008
US Treasury 2005 - 2006
NASD 2002 - 2006
SI International March 2004 - April 2005
TeleCommunication Systems 2000 - 2004
Skills
Unix, Enterprise Architecture, Solaris, Linux, Integration, Perl, Servers, AIX, VMware ESX, VMware, Veritas Volume Manager, System Administration, Operating Systems, Disaster Recovery, Storage Area Networks, Oracle, PL/SQL, HP-UX, Unix Shell Scripting, High Availability, Data Center, Cloud Computing, Solution Architecture, Virtualization, System Architecture
Education
University of Maryland College Park 1994 — 1998
Master of Science, Electrical Engineering
University of Maryland College Park 1987 — 1990
Bachelor Of Science, Electrical Engineering
Ecole nationale supérieure de l'Electronique et de ses Applications 1985 — 1987
None, Electrical Engineering
Lycee de Pontoise 1983 — 1984
Baccalaureat, Mathematiques et Physiques
IBM August 2006 - Present
KSYS Consulting of Northern Virginia Incorporated August 2002 - Present
CI-SS,inc. 2011 - 2012
IBM 2006 - 2009
Abaris 2007 - 2008
LMI 2007 - 2008
US Treasury 2005 - 2006
NASD 2002 - 2006
SI International March 2004 - April 2005
TeleCommunication Systems 2000 - 2004
Skills
Unix, Enterprise Architecture, Solaris, Linux, Integration, Perl, Servers, AIX, VMware ESX, VMware, Veritas Volume Manager, System Administration, Operating Systems, Disaster Recovery, Storage Area Networks, Oracle, PL/SQL, HP-UX, Unix Shell Scripting, High Availability, Data Center, Cloud Computing, Solution Architecture, Virtualization, System Architecture
Education
University of Maryland College Park 1994 — 1998
Master of Science, Electrical Engineering
University of Maryland College Park 1987 — 1990
Bachelor Of Science, Electrical Engineering
Ecole nationale supérieure de l'Electronique et de ses Applications 1985 — 1987
None, Electrical Engineering
Lycee de Pontoise 1983 — 1984
Baccalaureat, Mathematiques et Physiques
Brett Clawson Brett Clawson's NASD Experience November 2004 - July 2007
Job Director at FINRA
Industry Information Technology and Services
Experience
FINRA March 2013 - Present
FINRA October 2007 - March 2013
FINRA July 2007 - October 2007
NASD November 2004 - July 2007
Thomson Financial October 2000 - September 2004
Engenia Software Inc June 2000 - October 2000
Primark September 1999 - June 2000
Skills
Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Testing, Data Analysis, IT Strategy, SQL, Product Management, SDLC, Project Management, Business Intelligence, Analysis, Project Planning, Use Case Analysis, Excel models, Business Process..., User Experience, Process Analysis, Strategic Roadmaps, Scrum
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2006
MBA, Information Systems & Operations Management
George Mason University 2001 — 2001
Professional Certificate, Web Development (ASP)
Brigham Young University 1992 — 1999
Bachelor of Arts, English Major with a Spanish Minor
FINRA March 2013 - Present
FINRA October 2007 - March 2013
FINRA July 2007 - October 2007
NASD November 2004 - July 2007
Thomson Financial October 2000 - September 2004
Engenia Software Inc June 2000 - October 2000
Primark September 1999 - June 2000
Skills
Requirements Analysis, Agile Methodologies, Business Analysis, Requirements Gathering, Testing, Data Analysis, IT Strategy, SQL, Product Management, SDLC, Project Management, Business Intelligence, Analysis, Project Planning, Use Case Analysis, Excel models, Business Process..., User Experience, Process Analysis, Strategic Roadmaps, Scrum
Education
University of Maryland - Robert H. Smith School of Business 2003 — 2006
MBA, Information Systems & Operations Management
George Mason University 2001 — 2001
Professional Certificate, Web Development (ASP)
Brigham Young University 1992 — 1999
Bachelor of Arts, English Major with a Spanish Minor
Niels Goldstein Niels Goldstein's NASD Experience 1995 - 1995
Job Chief Cloud Architect, Infrastructure, Public Private and Hybrid Cloud Strategist and Architect, ie AWS
Industry Information Technology and Services
Experience
Teradata Applications May 2014 - September 2015
Siemens Healthcare November 2013 - May 2014
Independent CTO July 2013 - November 2013
NetApp December 2010 - July 2013
Thermopylae Sciences and Technology October 2009 - October 2010
Oracle USA, National Security Group 2008 - October 2009
Oracle USA, Global IT June 2006 - June 2007
Oracle USA May 2004 - June 2005
Oracle 1995 - 2004
NASD 1995 - 1995
Skills
IT Management, Data Center Architecture, Enterprise Architecture, Oracle Technologies, Business Development, Linux server..., Network Systems, NAS, SAN Administration, IT Service Management, ITIL, Solaris, General business..., Cloud Computing, Virtualization, Data Center, Linux System..., Integration, VMware, Oracle HR, Enterprise Software, Storage Area Networks, Storage, Databases, IT Strategy, Oracle, Program Management, Solution Architecture, Unix, Linux, High Availability, Information Technology, ITIL v3 Foundations..., Executive Management, Executive Reporting, Servers, Architecture, IT Operations, Data Warehousing, NetApp, Infrastructure, System Deployment, Strategy, PaaS, Disaster Recovery, SAN, Microsoft Technologies, Professional Services, System Architecture, Pre-sales
Education
Rensselaer Polytechnic Institute 1989 — 1993
M.B.A.
Rensselaer Polytechnic Institute 1984 — 1988
BS
Teradata Applications May 2014 - September 2015
Siemens Healthcare November 2013 - May 2014
Independent CTO July 2013 - November 2013
NetApp December 2010 - July 2013
Thermopylae Sciences and Technology October 2009 - October 2010
Oracle USA, National Security Group 2008 - October 2009
Oracle USA, Global IT June 2006 - June 2007
Oracle USA May 2004 - June 2005
Oracle 1995 - 2004
NASD 1995 - 1995
Skills
IT Management, Data Center Architecture, Enterprise Architecture, Oracle Technologies, Business Development, Linux server..., Network Systems, NAS, SAN Administration, IT Service Management, ITIL, Solaris, General business..., Cloud Computing, Virtualization, Data Center, Linux System..., Integration, VMware, Oracle HR, Enterprise Software, Storage Area Networks, Storage, Databases, IT Strategy, Oracle, Program Management, Solution Architecture, Unix, Linux, High Availability, Information Technology, ITIL v3 Foundations..., Executive Management, Executive Reporting, Servers, Architecture, IT Operations, Data Warehousing, NetApp, Infrastructure, System Deployment, Strategy, PaaS, Disaster Recovery, SAN, Microsoft Technologies, Professional Services, System Architecture, Pre-sales
Education
Rensselaer Polytechnic Institute 1989 — 1993
M.B.A.
Rensselaer Polytechnic Institute 1984 — 1988
BS
Aung Aung Win Aung Aung Win's NASD Experience 1997 - 2006
Job Senior Compliance Officer Global AML Monitoring, SVP at Citi
Industry Information Technology and Services
Experience
Citi December 2013 - Present
Oracle Financial Services Software Ltd September 2010 - November 2013
Citi March 2006 - September 2010
FINRA January 1997 - February 2006
NASD 1997 - 2006
Advantist HealthCare Mid-Atlantic January 1994 - December 1996
Skills
Integration, Knowledge Management, Data Mining, Analytics, Program Management, Analysis, Unix, Business Analysis, Business Intelligence, Testing, Data Analysis, Software Project..., Databases, Requirements Analysis, Data Warehousing, SDLC, Agile Methodologies
Education
George Mason University 1998 — 2001
AML Enhancement & Advancement, Problem Solving, BI, AI and Data Mining
Asian Institute of Technology 1990 — 1991
Master of Engineering (M.Eng.), Computer Science
De La Salle University 1985 — 1989
BS, ECE
Makati International School 1983 — 1985
Citi December 2013 - Present
Oracle Financial Services Software Ltd September 2010 - November 2013
Citi March 2006 - September 2010
FINRA January 1997 - February 2006
NASD 1997 - 2006
Advantist HealthCare Mid-Atlantic January 1994 - December 1996
Skills
Integration, Knowledge Management, Data Mining, Analytics, Program Management, Analysis, Unix, Business Analysis, Business Intelligence, Testing, Data Analysis, Software Project..., Databases, Requirements Analysis, Data Warehousing, SDLC, Agile Methodologies
Education
George Mason University 1998 — 2001
AML Enhancement & Advancement, Problem Solving, BI, AI and Data Mining
Asian Institute of Technology 1990 — 1991
Master of Engineering (M.Eng.), Computer Science
De La Salle University 1985 — 1989
BS, ECE
Makati International School 1983 — 1985
Douglas Griffiths Douglas Griffiths's NASD Experience 2002 - 2004
Job Vice President, IT Credit Risk Management at Wells Fargo
Industry Financial Services
Experience
Wells Fargo March 2004 - Present
NASD 2002 - 2004
Hello Network, Hello Network Japan, K.K. 1999 - 2004
Fannie Mae 1989 - 1999
Skills
Agile/Scrum Development, Data Warehousing, Data Center Management, Capital Markets, SDLC, IT Strategy, IT Management, Product Development, Risk, Enterprise Architecture, Vendor Management, Mortgage Servicing, Mortgage, Mortgage Lending, Financial Risk, Infrastructure..., Process Improvement, Project Management, Software Project..., Executive Management, PMP, Business Analysis, Business Process..., Risk Management, Enterprise Software, Agile Methodologies, Team Building, Strategy, Requirements Analysis, Project Portfolio..., Software Development, Management, Analytics, Business Intelligence, Business Process, Requirements Gathering, Banking, PMO, Testing, Leadership, Loan Origination, Underwriting, Business Development, Financial Services, Start-ups, SaaS, Business Requirements, Data Center, Quality Assurance, Integration
Education
Marymount University 1988 — 1992
BS, CS
Radford University, Marymount University
BS, Computer Science
Wells Fargo March 2004 - Present
NASD 2002 - 2004
Hello Network, Hello Network Japan, K.K. 1999 - 2004
Fannie Mae 1989 - 1999
Skills
Agile/Scrum Development, Data Warehousing, Data Center Management, Capital Markets, SDLC, IT Strategy, IT Management, Product Development, Risk, Enterprise Architecture, Vendor Management, Mortgage Servicing, Mortgage, Mortgage Lending, Financial Risk, Infrastructure..., Process Improvement, Project Management, Software Project..., Executive Management, PMP, Business Analysis, Business Process..., Risk Management, Enterprise Software, Agile Methodologies, Team Building, Strategy, Requirements Analysis, Project Portfolio..., Software Development, Management, Analytics, Business Intelligence, Business Process, Requirements Gathering, Banking, PMO, Testing, Leadership, Loan Origination, Underwriting, Business Development, Financial Services, Start-ups, SaaS, Business Requirements, Data Center, Quality Assurance, Integration
Education
Marymount University 1988 — 1992
BS, CS
Radford University, Marymount University
BS, Computer Science
Mary Mattison-Roberts Mary Mattison-Roberts's NASD Experience 1990 - 1992
Job Product Manager/Business Analysis/Process Improvment
Industry Information Technology and Services
Experience
Visa February 2012 - July 2014
Larimer County April 2007 - November 2011
Kingland Systems July 2004 - January 2006
IFMG December 2002 - July 2004
Streampoint 2001 - 2002
Compliance Advisers, Inc. January 1996 - May 2001
Charles Schwab 1995 - 1996
Multi-Financial 1993 - 1995
Chatfield Dean 1992 - 1993
NASD 1990 - 1992
Skills
Business Analysis, Requirements Management, Process Improvement, Requirements Analysis, Requirements Gathering, Business Requirements, Software Requirements, Business Process, Business Process..., Black Box Testing, User Acceptance Testing, End User Training, End User Support, Product Management, Product Design, Product Launches, Manual Testing, Regression Testing, Scrum, Waterfall, Financial Markets, Criminal Justice, Project Coordination, MS Office Suite, Activity Diagrams, SWOT analysis, Accounting, Budgeting, Banking, Auditing, Securities Regulation, Workflow, IVR, EMR, Off the shelf software..., Application Analysis, Financial Analysis, Technical Documentation, Performance Measurement, Performance Metrics, Strategic Planning, Cost Accounting, Series 7, series 27, series 24, series 4, series 53, Consultancy, Analysis, Leadership
Education
UC Irvine 2006 — 2008
Certificate, Business Analysis
Buena Vista University 1984 — 1987
BA, Finance & Banking
Visa February 2012 - July 2014
Larimer County April 2007 - November 2011
Kingland Systems July 2004 - January 2006
IFMG December 2002 - July 2004
Streampoint 2001 - 2002
Compliance Advisers, Inc. January 1996 - May 2001
Charles Schwab 1995 - 1996
Multi-Financial 1993 - 1995
Chatfield Dean 1992 - 1993
NASD 1990 - 1992
Skills
Business Analysis, Requirements Management, Process Improvement, Requirements Analysis, Requirements Gathering, Business Requirements, Software Requirements, Business Process, Business Process..., Black Box Testing, User Acceptance Testing, End User Training, End User Support, Product Management, Product Design, Product Launches, Manual Testing, Regression Testing, Scrum, Waterfall, Financial Markets, Criminal Justice, Project Coordination, MS Office Suite, Activity Diagrams, SWOT analysis, Accounting, Budgeting, Banking, Auditing, Securities Regulation, Workflow, IVR, EMR, Off the shelf software..., Application Analysis, Financial Analysis, Technical Documentation, Performance Measurement, Performance Metrics, Strategic Planning, Cost Accounting, Series 7, series 27, series 24, series 4, series 53, Consultancy, Analysis, Leadership
Education
UC Irvine 2006 — 2008
Certificate, Business Analysis
Buena Vista University 1984 — 1987
BA, Finance & Banking
Frank Spindler, CFA's NASD Experience October 2004 - October 2006
Job Fixed Income Strategist
Industry Investment Management
Experience
Payden & Rygel October 2007 - Present
CBIZ October 2006 - October 2007
NASD October 2004 - October 2006
Medtronic 2003 - 2003
Skills
Risk Management, Bloomberg, Fixed Income Research, Interest Rate Risk..., Credit Risk, Credit Analysis, Fixed Income, Performance Attribution, Portfolio Strategy, Alternative Investments, Capital Markets, Equities, Finance, Asset Allocation, Asset Management, Portfolio Management, Financial Analysis, Fixed Income Analysis, Investments, Strategy, Mutual Funds, Hedge Funds
Education
California State University-Northridge 1999 — 2003
Bacherlors, Business Admin. Finance
Payden & Rygel October 2007 - Present
CBIZ October 2006 - October 2007
NASD October 2004 - October 2006
Medtronic 2003 - 2003
Skills
Risk Management, Bloomberg, Fixed Income Research, Interest Rate Risk..., Credit Risk, Credit Analysis, Fixed Income, Performance Attribution, Portfolio Strategy, Alternative Investments, Capital Markets, Equities, Finance, Asset Allocation, Asset Management, Portfolio Management, Financial Analysis, Fixed Income Analysis, Investments, Strategy, Mutual Funds, Hedge Funds
Education
California State University-Northridge 1999 — 2003
Bacherlors, Business Admin. Finance
Matthew J Conley Matthew J Conley's NASD Experience 1991 - 1998
Job Director Compliance Officer at Leerink Swann
Industry Investment Banking
Experience
Leerink Swann 2004 - Present
Deutsche Bank 2001 - 2004
Bankers Trust 1998 - 2001
NASD 1991 - 1998
Education
Mount St. Mary's College
BS, Business & Finance
Leerink Swann 2004 - Present
Deutsche Bank 2001 - 2004
Bankers Trust 1998 - 2001
NASD 1991 - 1998
Education
Mount St. Mary's College
BS, Business & Finance
Angela Renish Angela Renish's NASD Experience August 2011 - Present
Job Art Teacher K4 at NASD
Industry Arts and Crafts
Experience
NASD August 2011 - Present
Ridley June 2005 - Present
Kutztown University September 2010 - December 2010
Cape Island Resort May 2006 - September 2010
Old Navy July 2004 - August 2010
Schuylkill Valley Middle School November 2008 - November 2008
Thomas Ford Elementary School November 2007 - November 2007
Skills
Extensive experience w/..., Knowledge of Microsoft..., Experience with diverse..., Customer Service, Public Speaking, PowerPoint, Creative Writing, Microsoft Office, Teaching, Microsoft Word, Time Management, Fundraising, Childcare, Interpersonal..., Phone Etiquette
Education
Kutztown University of Pennsylvania 2006 — 2011
Bachelor's of Science, Bachelor's of Fine Arts, Art Education, Fine Arts
Kutztown University of Pennsylvania 2006 — 2011
B.S, Education
NASD August 2011 - Present
Ridley June 2005 - Present
Kutztown University September 2010 - December 2010
Cape Island Resort May 2006 - September 2010
Old Navy July 2004 - August 2010
Schuylkill Valley Middle School November 2008 - November 2008
Thomas Ford Elementary School November 2007 - November 2007
Skills
Extensive experience w/..., Knowledge of Microsoft..., Experience with diverse..., Customer Service, Public Speaking, PowerPoint, Creative Writing, Microsoft Office, Teaching, Microsoft Word, Time Management, Fundraising, Childcare, Interpersonal..., Phone Etiquette
Education
Kutztown University of Pennsylvania 2006 — 2011
Bachelor's of Science, Bachelor's of Fine Arts, Art Education, Fine Arts
Kutztown University of Pennsylvania 2006 — 2011
B.S, Education
JAY DIETRICH JAY DIETRICH's NASD Experience 1979 - 1982
Job Chief Financial Officer Interested in B/D, Asset Management and Not For Profit opportunities
Industry Financial Services
Experience
Private Investor/Consultant 2011 - Present
Infinium Capital Management July 2008 - 2011
PPM America June 1998 - April 2008
Nesbitt Burns Securities, Inc. 1996 - 1998
Swiss Bank Corporation 1990 - 1996
O'Connor and Associates 1986 - 1990
Kidder Peabody 1984 - 1986
A. G. Becker 1982 - 1984
NASD 1979 - 1982
Skills
Equities, Derivatives, Asset Management, Trading, Financial Analysis, Accounting, Risk Management, Valuation, Capital, Financial Risk, Securities, Financial Markets, Finance, Capital Markets, Options, Alternative Investments, Corporate Finance, Hedge Funds, Trading Systems, FX Options, Structured Products, Investment Banking, Bonds, Partnership Taxation, Investments, Private Equity, Financial Modeling, Portfolio Management, Due Diligence, Commodity, Trading Strategies, Alternative Assets, Hedging, Equity Derivatives, Strategic Financial..., Fixed Income, Managerial Finance, FX, Investment Accounting, SEC Net Capital Rule, Financial Leadership of..., Compliance, Financial Compliance, Budgeting
Education
DePaul University 1981 — 1983
MBA, Finance
DePauw University 1974 — 1978
BA, Economics, Business Admin
Private Investor/Consultant 2011 - Present
Infinium Capital Management July 2008 - 2011
PPM America June 1998 - April 2008
Nesbitt Burns Securities, Inc. 1996 - 1998
Swiss Bank Corporation 1990 - 1996
O'Connor and Associates 1986 - 1990
Kidder Peabody 1984 - 1986
A. G. Becker 1982 - 1984
NASD 1979 - 1982
Skills
Equities, Derivatives, Asset Management, Trading, Financial Analysis, Accounting, Risk Management, Valuation, Capital, Financial Risk, Securities, Financial Markets, Finance, Capital Markets, Options, Alternative Investments, Corporate Finance, Hedge Funds, Trading Systems, FX Options, Structured Products, Investment Banking, Bonds, Partnership Taxation, Investments, Private Equity, Financial Modeling, Portfolio Management, Due Diligence, Commodity, Trading Strategies, Alternative Assets, Hedging, Equity Derivatives, Strategic Financial..., Fixed Income, Managerial Finance, FX, Investment Accounting, SEC Net Capital Rule, Financial Leadership of..., Compliance, Financial Compliance, Budgeting
Education
DePaul University 1981 — 1983
MBA, Finance
DePauw University 1974 — 1978
BA, Economics, Business Admin
Amy Sochard Amy Sochard's NASD Experience September 1986 - July 2007
Job Senior Director at FINRA
Industry Financial Services
Experience
FINRA December 2013 - Present
FINRA July 2007 - November 2013
NASD September 1986 - July 2007
The Investment Group 1985 - 1986
Skills
Mutual Funds, Financial Services, Securities, Investments, Public Speaking
Education
Columbia University in the City of New York 1983 — 1984
University of Virginia 1978 — 1982
B.A. with Distinction
FINRA December 2013 - Present
FINRA July 2007 - November 2013
NASD September 1986 - July 2007
The Investment Group 1985 - 1986
Skills
Mutual Funds, Financial Services, Securities, Investments, Public Speaking
Education
Columbia University in the City of New York 1983 — 1984
University of Virginia 1978 — 1982
B.A. with Distinction
Angela Queen's NASD Experience February 2001 - February 2004
Job Director at Deutsche Bank
Industry Financial Services
Experience
Deutsche Bank March 2015 - Present
Deutsche Bank March 2004 - February 2015
NASD February 2001 - February 2004
CIBC World Markets January 2000 - January 2001
Scott & Stringfellow January 1998 - December 1999
Smith Barney 1997 - 1997
Skills
Hedge Funds, AML, Investment Banking, Capital Markets, FINRA, Securities, KYC, Series 7, Securities Regulation, Prime Brokerage
Education
George Mason University 1994 — 2004
MBA, Finance
George Mason University - School of Management 1994 — 2004
MBA, Finance
Deutsche Bank March 2015 - Present
Deutsche Bank March 2004 - February 2015
NASD February 2001 - February 2004
CIBC World Markets January 2000 - January 2001
Scott & Stringfellow January 1998 - December 1999
Smith Barney 1997 - 1997
Skills
Hedge Funds, AML, Investment Banking, Capital Markets, FINRA, Securities, KYC, Series 7, Securities Regulation, Prime Brokerage
Education
George Mason University 1994 — 2004
MBA, Finance
George Mason University - School of Management 1994 — 2004
MBA, Finance
Elizabeth Hansen's NASD Experience July 1996 - August 1998
Job Chief Compliance Officer Clearing; Vice President Field Compliance Oversight at Ameriprise Financial Services Inc
Industry Financial Services
Experience
Ameriprise Financial Services Inc November 2009 - Present
Ameriprise Financial Services Inc. July 2000 - November 2009
ABN AMRO Inc. 1998 - 2000
NASD July 1996 - August 1998
American Century Investments November 1991 - July 1996
Skills
Investments, Brokerage, Capital Markets, Series 24, FINRA, Series 7, Securities, Series 63, Mutual Funds, Wealth Management, Series 65, AML, Uniform Combined State..., Alternative Investments, Equities, Securities Regulation, Financial Services
Education
Webster University 1994 — 1996
Masters, Masters of Arts in Management
Kansas State University 1987 — 1991
BA, French
Ameriprise Financial Services Inc November 2009 - Present
Ameriprise Financial Services Inc. July 2000 - November 2009
ABN AMRO Inc. 1998 - 2000
NASD July 1996 - August 1998
American Century Investments November 1991 - July 1996
Skills
Investments, Brokerage, Capital Markets, Series 24, FINRA, Series 7, Securities, Series 63, Mutual Funds, Wealth Management, Series 65, AML, Uniform Combined State..., Alternative Investments, Equities, Securities Regulation, Financial Services
Education
Webster University 1994 — 1996
Masters, Masters of Arts in Management
Kansas State University 1987 — 1991
BA, French
Ginny Beswick Ginny Beswick's NASD Experience 2000 - 2006
Job CoOwner/Office Manager at Wheels Autoworks
Industry Financial Services
Experience
Wheels Autoworks September 2009 - Present
New York Life Insurance Company April 2010 - March 2012
NASD 2000 - 2006
Skills
Insurance, Travel Arrangements, Administrative..., Notary Public, Office Management, Outlook, File Management, Data Entry, Spreadsheets, QuickBooks, Wordperfect, Office Administration, Microsoft Excel, Filing, Customer Service, Microsoft Word, Payroll, Invoicing, Accounts Receivable, Microsoft Publisher, Legal Writing
Education
Cross Keys High School 1966 — 1971
Northern Virginia Community College
Wheels Autoworks September 2009 - Present
New York Life Insurance Company April 2010 - March 2012
NASD 2000 - 2006
Skills
Insurance, Travel Arrangements, Administrative..., Notary Public, Office Management, Outlook, File Management, Data Entry, Spreadsheets, QuickBooks, Wordperfect, Office Administration, Microsoft Excel, Filing, Customer Service, Microsoft Word, Payroll, Invoicing, Accounts Receivable, Microsoft Publisher, Legal Writing
Education
Cross Keys High School 1966 — 1971
Northern Virginia Community College
Mike Kolar CPA Mike Kolar CPA's NASD Experience April 1984 - September 1990
Job Owner, MR REFUND
Industry Accounting
Experience
1-800-MR-REFUND September 1990 - Present
MR REFUND September 1990 - Present
NASD April 1984 - September 1990
Education
Loyola University Chicago 1994 — 1995
CPA, Accounting
1-800-MR-REFUND September 1990 - Present
MR REFUND September 1990 - Present
NASD April 1984 - September 1990
Education
Loyola University Chicago 1994 — 1995
CPA, Accounting
Brink Trammell Brink Trammell's NASD Experience 2004 - 2007
Job Cloud/Big Data Enterprise Program Manager at Financial Industry Regulatory Authority
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority March 2013 - Present
New Frontier Advisors 2004 - Present
FINRA 2004 - 2011
NASD 2004 - 2007
DiamondCluster international 1998 - 2002
Price Waterhouse Management Consultants 1990 - 1995
Skills
Agile Application..., Scrum, Technology Integration, Master Data Management, Schedule Management, Budget Management, Risk Management, Enterprise Architecture, Budgets, Business Intelligence, Program Management, Management Consulting, Agile Methodologies, Strategy, IT Strategy
Education
University of North Texas 2003 — 2007
MS, Information Science
Baylor University 1979 — 1983
BBA, Finance, Info Sys, Eco, Mkt
Financial Industry Regulatory Authority March 2013 - Present
New Frontier Advisors 2004 - Present
FINRA 2004 - 2011
NASD 2004 - 2007
DiamondCluster international 1998 - 2002
Price Waterhouse Management Consultants 1990 - 1995
Skills
Agile Application..., Scrum, Technology Integration, Master Data Management, Schedule Management, Budget Management, Risk Management, Enterprise Architecture, Budgets, Business Intelligence, Program Management, Management Consulting, Agile Methodologies, Strategy, IT Strategy
Education
University of North Texas 2003 — 2007
MS, Information Science
Baylor University 1979 — 1983
BBA, Finance, Info Sys, Eco, Mkt
Joe Riley Joe Riley's NASD Experience May 2001 - January 2005
Job Senior Vice President at ZenithOptimedia Group (part of the Publicis Groupe)
Industry Internet
Experience
ZenithOptimedia Group (part of the Publicis Groupe) January 2015 - Present
VivaKi (part of the Publicis Groupe) April 2014 - January 2015
Magnetic October 2012 - April 2014
Digital Media Consultant November 2011 - September 2012
Lotame March 2010 - November 2011
Lotame September 2008 - March 2010
Washingtonpost.Newsweek Interactive February 2005 - July 2008
NASD May 2001 - January 2005
PricewaterhouseCoopers June 1998 - May 2001
Arthur Andersen September 1996 - June 1998
Skills
Business Development, Strategic Partnerships, Digital Media, Product Management, Online Advertising, Marketing, Direct Marketing, Brand Management, Advertising, Digital Strategy, Display Advertising, Marketing Strategy, SEM, Digital Marketing, Web Analytics
Education
Duke University - The Fuqua School of Business 2001 — 2003
MBA
University of Notre Dame 1992 — 1996
ZenithOptimedia Group (part of the Publicis Groupe) January 2015 - Present
VivaKi (part of the Publicis Groupe) April 2014 - January 2015
Magnetic October 2012 - April 2014
Digital Media Consultant November 2011 - September 2012
Lotame March 2010 - November 2011
Lotame September 2008 - March 2010
Washingtonpost.Newsweek Interactive February 2005 - July 2008
NASD May 2001 - January 2005
PricewaterhouseCoopers June 1998 - May 2001
Arthur Andersen September 1996 - June 1998
Skills
Business Development, Strategic Partnerships, Digital Media, Product Management, Online Advertising, Marketing, Direct Marketing, Brand Management, Advertising, Digital Strategy, Display Advertising, Marketing Strategy, SEM, Digital Marketing, Web Analytics
Education
Duke University - The Fuqua School of Business 2001 — 2003
MBA
University of Notre Dame 1992 — 1996
Marcelino Ruiz Marcelino Ruiz's NASD Experience 1996 - 1998
Job Director of Payroll at AARP
Industry Nonprofit Organization Management
Experience
AARP 1998 - Present
NASD 1996 - 1998
Nextel 1995 - 1997
Boehringer Mannheim 1992 - 1996
BMPC 1992 - 1996
Payamerica 1988 - 1992
Skills
ADP Payroll, PeopleSoft, Payroll, Benefits Administration, HRIS, Employee Benefits, Ceridian, Organizational..., Report Writing, Leadership, Cross-functional Team..., Leadership Development, Outsourcing Management, Outsourcing, Business Process..., Onboarding, Accounts Payable, Employee Engagement, Vendor Management, Process Improvement, Deferred Compensation, Performance Management, Recruiting, Team Building, Budgets, JD Edwards, Change Management, FMLA, Movex, Employee Relations, Payroll Taxes, Personnel Management, New Hire Orientations, Human Resources, Applicant Tracking..., Kronos, Workforce Planning, Policy, ADP ReportSmith, 401k, HR Policies, Succession Planning, Temporary Placement, Talent Management, Interviews, Labor Relations, Hiring, Talent Acquisition, Training
Education
Montgomery College 1982 — 1987
AARP 1998 - Present
NASD 1996 - 1998
Nextel 1995 - 1997
Boehringer Mannheim 1992 - 1996
BMPC 1992 - 1996
Payamerica 1988 - 1992
Skills
ADP Payroll, PeopleSoft, Payroll, Benefits Administration, HRIS, Employee Benefits, Ceridian, Organizational..., Report Writing, Leadership, Cross-functional Team..., Leadership Development, Outsourcing Management, Outsourcing, Business Process..., Onboarding, Accounts Payable, Employee Engagement, Vendor Management, Process Improvement, Deferred Compensation, Performance Management, Recruiting, Team Building, Budgets, JD Edwards, Change Management, FMLA, Movex, Employee Relations, Payroll Taxes, Personnel Management, New Hire Orientations, Human Resources, Applicant Tracking..., Kronos, Workforce Planning, Policy, ADP ReportSmith, 401k, HR Policies, Succession Planning, Temporary Placement, Talent Management, Interviews, Labor Relations, Hiring, Talent Acquisition, Training
Education
Montgomery College 1982 — 1987
Jean Dacanay's NASD Experience April 2004 - October 2005
Job Manager/ Advisory at PwC
Industry Financial Services
Experience
PwC January 2015 - Present
Raymond James Financial Inc. August 2012 - December 2014
Raymond James Financial Inc. August 2012 - December 2014
Risknetix November 2011 - August 2012
NeoNet Securities Inc 2005 - October 2011
UPS March 2003 - December 2006
NASD April 2004 - October 2005
CIBC World Markets February 1993 - November 2002
Oppenheimer & Co. February 1993 - May 1997
Northwestern Mutual August 1990 - May 1991
Skills
Compliance, Equities, Equity Trading, Credit Analysis, Strategic Planning, Risk Management, Fixed Income Products, Mutual Funds, Derivatives, Options, Surveillance, SEC reporting, FINRA, Compliance Audits, Internal Audit, Electronic Trading, Anti Money Laundering, Bonds, Capital Markets, Financial Risk, Fixed Income, Quality Auditing, SEC filings, Securities, Trading
Education
Duke University - The Fuqua School of Business 2008 — 2009
MBA
Rutgers University-New Brunswick 1987 — 1991
PwC January 2015 - Present
Raymond James Financial Inc. August 2012 - December 2014
Raymond James Financial Inc. August 2012 - December 2014
Risknetix November 2011 - August 2012
NeoNet Securities Inc 2005 - October 2011
UPS March 2003 - December 2006
NASD April 2004 - October 2005
CIBC World Markets February 1993 - November 2002
Oppenheimer & Co. February 1993 - May 1997
Northwestern Mutual August 1990 - May 1991
Skills
Compliance, Equities, Equity Trading, Credit Analysis, Strategic Planning, Risk Management, Fixed Income Products, Mutual Funds, Derivatives, Options, Surveillance, SEC reporting, FINRA, Compliance Audits, Internal Audit, Electronic Trading, Anti Money Laundering, Bonds, Capital Markets, Financial Risk, Fixed Income, Quality Auditing, SEC filings, Securities, Trading
Education
Duke University - The Fuqua School of Business 2008 — 2009
MBA
Rutgers University-New Brunswick 1987 — 1991
April Lindauer April Lindauer's NASD Experience 2001 - 2003
Job Director, Legal Collections
Industry Law Practice
Experience
Encore Capital Group June 2015 - Present
Midland Credit Management, Inc. September 2011 - June 2015
Computershare January 2007 - August 2011
Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. (SNSFE) 2003 - 2007
NASD 2001 - 2003
Hewitt Associates 1997 - 2000
Skills
Compliance, Corporate Law, Securities, Arbitration, Securities Regulation, Mediation, Contract Negotiation, Securities Law, Due Diligence, Corporate Governance, Legal Assistance, Dispute Resolution, Legal Research, Financial Services, Litigation Management, Mergers & Acquisitions, Securities Litigation, Litigation, Courts, Bankruptcy, Civil Litigation, Privacy Law, Risk Management, OFAC, AML, Legal Writing, Licensing, Estate Planning, Commercial Litigation, Legal Compliance, Negotiation, Litigation Support, Joint Ventures, Employment Law, Intellectual Property
Education
DePaul University College of Law 2000 — 2003
JD, Legal Studies
Dickinson Law 2001 — 2001
Law--Summer Study Abroad Program, Florence, Italy
The University of Chicago 1992 — 1996
AB, Psychology
Central High School, Phoenix, AZ 1988 — 1992
Lindero Canyon Middle School, Agoura Hills, CA 1985 — 1988
None
Encore Capital Group June 2015 - Present
Midland Credit Management, Inc. September 2011 - June 2015
Computershare January 2007 - August 2011
Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. (SNSFE) 2003 - 2007
NASD 2001 - 2003
Hewitt Associates 1997 - 2000
Skills
Compliance, Corporate Law, Securities, Arbitration, Securities Regulation, Mediation, Contract Negotiation, Securities Law, Due Diligence, Corporate Governance, Legal Assistance, Dispute Resolution, Legal Research, Financial Services, Litigation Management, Mergers & Acquisitions, Securities Litigation, Litigation, Courts, Bankruptcy, Civil Litigation, Privacy Law, Risk Management, OFAC, AML, Legal Writing, Licensing, Estate Planning, Commercial Litigation, Legal Compliance, Negotiation, Litigation Support, Joint Ventures, Employment Law, Intellectual Property
Education
DePaul University College of Law 2000 — 2003
JD, Legal Studies
Dickinson Law 2001 — 2001
Law--Summer Study Abroad Program, Florence, Italy
The University of Chicago 1992 — 1996
AB, Psychology
Central High School, Phoenix, AZ 1988 — 1992
Lindero Canyon Middle School, Agoura Hills, CA 1985 — 1988
None
John Poff John Poff's NASD Experience January 1975 - January 1983
Job Retired
Industry Financial Services
Experience
Mutual Service Corporation February 2007 - Present
Mutual Serice Corporatio December 1985 - February 2006
NASD January 1975 - January 1983
Education
Georgia State University 1972 — 1976
MBA, Finance
University of West Georgia 1967 — 1972
BBA, Accounting
Mutual Service Corporation February 2007 - Present
Mutual Serice Corporatio December 1985 - February 2006
NASD January 1975 - January 1983
Education
Georgia State University 1972 — 1976
MBA, Finance
University of West Georgia 1967 — 1972
BBA, Accounting
Henry Hank Sanchez's NASD Experience May 1993 - October 2001
Job Managing Director at Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Sally Mee Sally Mee's NASD Experience June 1997 - January 1999
Job Seasoned IT Project Manager actively seeking an IT Manager/Project Manager position
Industry Market Research
Experience
Looking for an IT Manager/Project Manager position 2014 - Present
SLM Systems January 1999 - Present
Arbitron October 2010 - January 2014
EDS January 2001 - January 2009
EDS January 1999 - January 2001
NASD June 1997 - January 1999
OTSUKA November 1993 - June 1997
Information Systems and Networks 1990 - 1993
Skills
SDLC, Enterprise Architecture, Unix, Requirements Analysis, Oracle, Microsoft Exchange, ITIL, Windows Server, Program Management, PMP, Integration, Troubleshooting, Databases, Microsoft Technologies, Project Management, Disaster Recovery, Training, Technical Analysis, .NET, windows, Performance Testing, Team Leadership, Crisis Management, Data Warehousing, Process Improvement, Patch Management, Windows, Enterprise Software, Software Development, Management, Analysis
Education
Camden County College 1981 — 1983
Liberal Arts
Looking for an IT Manager/Project Manager position 2014 - Present
SLM Systems January 1999 - Present
Arbitron October 2010 - January 2014
EDS January 2001 - January 2009
EDS January 1999 - January 2001
NASD June 1997 - January 1999
OTSUKA November 1993 - June 1997
Information Systems and Networks 1990 - 1993
Skills
SDLC, Enterprise Architecture, Unix, Requirements Analysis, Oracle, Microsoft Exchange, ITIL, Windows Server, Program Management, PMP, Integration, Troubleshooting, Databases, Microsoft Technologies, Project Management, Disaster Recovery, Training, Technical Analysis, .NET, windows, Performance Testing, Team Leadership, Crisis Management, Data Warehousing, Process Improvement, Patch Management, Windows, Enterprise Software, Software Development, Management, Analysis
Education
Camden County College 1981 — 1983
Liberal Arts
Wilson Ouyang's NASD Experience October 1998 - July 1999
Job Director of Finance and Administration at S2 Analytical Solutions, LLC
Industry Information Technology and Services
Experience
S2 Analytical Solutions, LLC January 2015 - Present
SRA International June 2014 - December 2014
Independent Consultant April 2014 - May 2014
TASC, Inc. September 2009 - January 2014
Northrop Grumman Corporation September 2006 - September 2009
Bearing Point March 2006 - September 2006
Booz Allen Hamilton December 2003 - March 2006
EDS August 1999 - December 2003
NASD October 1998 - July 1999
Ratheon August 1996 - November 1998
Skills
Enterprise Architecture, Integration, Program Management, SDLC, System Architecture, DoD, Security, Requirements Analysis, Requirements Management, IT Portfolio, Process Improvement, IT Strategy, Software Development, Enterprise Software, Cloud Computing, Systems Engineering, Project Management, SOA, Analysis, Agile Methodologies, Strategy, Management, Leadership, Configuration Management, Government, Business Analysis, Proposal Writing, Web Services, Management Consulting, ITIL, System Design, Team Leadership, Strategic Planning, Financial Accounting, Financial Analysis, Financial Reporting, Human Resources
Education
University of Maryland College Park 1998 — 2001
MS, Computer Systems Management
University of Michigan 1994 — 1996
MFA, Medical, bilogical and scientific illustration
Oregon Health and Science University School of Medicine 1992 — 1993
BS, Medical Technology
The Johns Hopkins University 1988 — 1992
BS, Biomedical Engineering
S2 Analytical Solutions, LLC January 2015 - Present
SRA International June 2014 - December 2014
Independent Consultant April 2014 - May 2014
TASC, Inc. September 2009 - January 2014
Northrop Grumman Corporation September 2006 - September 2009
Bearing Point March 2006 - September 2006
Booz Allen Hamilton December 2003 - March 2006
EDS August 1999 - December 2003
NASD October 1998 - July 1999
Ratheon August 1996 - November 1998
Skills
Enterprise Architecture, Integration, Program Management, SDLC, System Architecture, DoD, Security, Requirements Analysis, Requirements Management, IT Portfolio, Process Improvement, IT Strategy, Software Development, Enterprise Software, Cloud Computing, Systems Engineering, Project Management, SOA, Analysis, Agile Methodologies, Strategy, Management, Leadership, Configuration Management, Government, Business Analysis, Proposal Writing, Web Services, Management Consulting, ITIL, System Design, Team Leadership, Strategic Planning, Financial Accounting, Financial Analysis, Financial Reporting, Human Resources
Education
University of Maryland College Park 1998 — 2001
MS, Computer Systems Management
University of Michigan 1994 — 1996
MFA, Medical, bilogical and scientific illustration
Oregon Health and Science University School of Medicine 1992 — 1993
BS, Medical Technology
The Johns Hopkins University 1988 — 1992
BS, Biomedical Engineering
J. Jack Samarias J. Jack Samarias's NASD Experience 1985 - 1997
Job Information Technology and Services Executive
Industry Information Technology and Services
Experience
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 2003 - 2006
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 2000 - 2003
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 1997 - 1999
National Association of Securities Dealers (NASD/NASDAQ) 1985 - 1997
Sallie Mae 1985 - 1997
NASD 1985 - 1997
Advanced Technology, Inc 1984 - 1985
Student Loan Marketing Association (Sallie Mae) 1980 - 1984
Arthur Andersen & Company (Now ACCENTURE) 1970 - 1980
Executive Development Programs, The Eli Broad Graduate School of Management 1968 - 1970
Skills
Management Consulting, Outsourcing, Strategy, Program Management, Project Planning, Strategic Planning, Data Center, Business Process, Management, Business Analysis, Testing, Budgets, IT Strategy, Requirements Analysis, Vendor Management, Process Improvement, Change Management, Quality Assurance, Banking, Human Resources, Software Development, Offshoring, Leadership, IT Outsourcing, SDLC, Risk Management, Integration
Education
Michigan State University 1968 — 1970
MS, Statistics and Operations Research
Ethnikon kai Kapodistriakon Panepistimion Athinon 1963 — 1967
BS, Mathematics
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 2003 - 2006
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 2000 - 2003
ABN AMRO Bank, North America (LaSalle Bank, Chicago) 1997 - 1999
National Association of Securities Dealers (NASD/NASDAQ) 1985 - 1997
Sallie Mae 1985 - 1997
NASD 1985 - 1997
Advanced Technology, Inc 1984 - 1985
Student Loan Marketing Association (Sallie Mae) 1980 - 1984
Arthur Andersen & Company (Now ACCENTURE) 1970 - 1980
Executive Development Programs, The Eli Broad Graduate School of Management 1968 - 1970
Skills
Management Consulting, Outsourcing, Strategy, Program Management, Project Planning, Strategic Planning, Data Center, Business Process, Management, Business Analysis, Testing, Budgets, IT Strategy, Requirements Analysis, Vendor Management, Process Improvement, Change Management, Quality Assurance, Banking, Human Resources, Software Development, Offshoring, Leadership, IT Outsourcing, SDLC, Risk Management, Integration
Education
Michigan State University 1968 — 1970
MS, Statistics and Operations Research
Ethnikon kai Kapodistriakon Panepistimion Athinon 1963 — 1967
BS, Mathematics
June Batcheller June Batcheller's NASD Experience June 1996 - April 2000
Job VP/Chief Compliance Officer E*TRADE Financial
Industry Financial Services
Experience
E*TRADE Financial Corporation Vice President, Chief Compliance OfficerE*TRADE Securities LLCNovember 2001 - Present
BISYS Regulatory Services August 2000 - November 2001
NASD June 1996 - April 2000
Capital Research & Management Company May 1993 - May 1997
Skills
Series 7, Series 24
Education
Marymount University 1982 — 1986
MBA, Finance/Management
Marymount University 1979 — 1982
Bachelors of Business Administration, Marketing
E*TRADE Financial Corporation Vice President, Chief Compliance OfficerE*TRADE Securities LLCNovember 2001 - Present
BISYS Regulatory Services August 2000 - November 2001
NASD June 1996 - April 2000
Capital Research & Management Company May 1993 - May 1997
Skills
Series 7, Series 24
Education
Marymount University 1982 — 1986
MBA, Finance/Management
Marymount University 1979 — 1982
Bachelors of Business Administration, Marketing
Mariane Liebowitz's NASD Experience August 1997 - November 2000
Job Chief Compliance Officer at NIA Securities LLC
Industry Financial Services
Experience
MMA Securities LLC June 2012 - Present
Marsh & McLennan Companies, Inc. June 2002 - Present
PricewaterhouseCoopers November 2000 - November 2001
NASD August 1997 - November 2000
Skills
FINRA Arbitrator, Securities, Financial Risk, Series 7, FINRA, Equities, Risk Management, Capital Markets, Investments, AML, Asset Management, Hedge Funds, Fixed Income, Financial Services, Alternative Investments, Mutual Funds, Insurance, Anti Money Laundering, Series 63, Operational Risk
Education
Brooklyn Law School 1992 — 1995
JD
New York University 1989 — 1992
BA
MMA Securities LLC June 2012 - Present
Marsh & McLennan Companies, Inc. June 2002 - Present
PricewaterhouseCoopers November 2000 - November 2001
NASD August 1997 - November 2000
Skills
FINRA Arbitrator, Securities, Financial Risk, Series 7, FINRA, Equities, Risk Management, Capital Markets, Investments, AML, Asset Management, Hedge Funds, Fixed Income, Financial Services, Alternative Investments, Mutual Funds, Insurance, Anti Money Laundering, Series 63, Operational Risk
Education
Brooklyn Law School 1992 — 1995
JD
New York University 1989 — 1992
BA
Jessica Downes Jessica Downes's NASD Experience August 2003 - August 2012
Job Local Coordinator at InterExchange
Industry Primary/Secondary Education
Experience
InterExchange July 2015 - Present
Cabrini College August 2010 - August 2014
NASD August 2003 - August 2012
Education
University of Pennsylvania 2008 — 2012
Master’s Degree, Education Policy
Penn State University 1998 — 2002
B.S., Elementary Education, K-6 cert.
InterExchange July 2015 - Present
Cabrini College August 2010 - August 2014
NASD August 2003 - August 2012
Education
University of Pennsylvania 2008 — 2012
Master’s Degree, Education Policy
Penn State University 1998 — 2002
B.S., Elementary Education, K-6 cert.
Megan Callery Peluso Megan Callery Peluso's NASD Experience August 2001 - 2003
Job Senior Advertising Analyst, Advertising Regulation, FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Financial Industry Regulatory Authority August 2012 - Present
Financial Industry Regulatory Authority 2005 - August 2012
NASD (National Association of Securities Dealers, Inc.) April 2003 - December 2005
NASD August 2001 - 2003
Abercrombie and Fitch April 1998 - May 2002
NASD May 2000 - August 2001
Skills
Corporate Governance, Board Relations, Non-profits, Research, Editing, Event Management, PowerPoint, Securities Market, Financial Industry, Microsoft Office, Project Management, Minutes, Compensations, Annual Meetings, Senior Management..., Records Management, Information Security, Public Relations, Strategic Communications, Marketing, Event Planning, Social Media, Collaboration, Financial Services, Nonprofits, Securities, Advertising, Series 7, Strategic Planning, Management
Education
Marietta College 2000 — 2003
BA, Advertising and Public Relations
University of Maryland College Park 1998 — 2002
Sidwell Friends 1994 — 1998
Diploma, General Studies
Financial Industry Regulatory Authority (FINRA) October 2014 - Present
Financial Industry Regulatory Authority August 2012 - Present
Financial Industry Regulatory Authority 2005 - August 2012
NASD (National Association of Securities Dealers, Inc.) April 2003 - December 2005
NASD August 2001 - 2003
Abercrombie and Fitch April 1998 - May 2002
NASD May 2000 - August 2001
Skills
Corporate Governance, Board Relations, Non-profits, Research, Editing, Event Management, PowerPoint, Securities Market, Financial Industry, Microsoft Office, Project Management, Minutes, Compensations, Annual Meetings, Senior Management..., Records Management, Information Security, Public Relations, Strategic Communications, Marketing, Event Planning, Social Media, Collaboration, Financial Services, Nonprofits, Securities, Advertising, Series 7, Strategic Planning, Management
Education
Marietta College 2000 — 2003
BA, Advertising and Public Relations
University of Maryland College Park 1998 — 2002
Sidwell Friends 1994 — 1998
Diploma, General Studies
Marcel Dupré Marcel Dupré's NASD Experience May 1994 - August 1996
Job Senior Plan Consultant at NFP Retirement
Industry Financial Services
Experience
NFP Retirement October 2014 - Present
BCM 401k August 2013 - October 2014
ThirtyNorth Investments, LLC March 1997 - July 2013
NASD May 1994 - August 1996
Skills
401k, Investments, ETFs, Retirement, Portfolio Management, Benchmarking, Consulting, Mutual Funds, Defined Contribution, Retirement Planning, Financial Advisory, Finance, Investment Advisory, Wealth Management..., Asset Allocation, Alternative Investments, Investment Management, Management, Investment Strategies, Financial Markets, Financial Services, Asset Management, Wealth Management, Equities, Series 7, Series 24, Corporate Finance, Fixed Income, Insurance, Bonds, IRAs, Retirement Plan..., Series 63, Wealth, Asset Managment, Hedge Funds, Estate Planning, Trading, Strategic Financial..., Fixed Annuities, Financial Modeling, Defined Benefit, Social Media, Financial Planning, Securities
Education
Loyola University New Orleans College of Law 1991 — 1994
JD, Law
Loyola University New Orleans 1991 — 1994
MBA, Business
The University of Southern Mississippi 1989 — 1991
BSBA, Economics
University of Maryland University College 1986 — 1987
Louisiana State University 1985 — 1986
Pineville High School 1981 — 1985
High School Diploma
NFP Retirement October 2014 - Present
BCM 401k August 2013 - October 2014
ThirtyNorth Investments, LLC March 1997 - July 2013
NASD May 1994 - August 1996
Skills
401k, Investments, ETFs, Retirement, Portfolio Management, Benchmarking, Consulting, Mutual Funds, Defined Contribution, Retirement Planning, Financial Advisory, Finance, Investment Advisory, Wealth Management..., Asset Allocation, Alternative Investments, Investment Management, Management, Investment Strategies, Financial Markets, Financial Services, Asset Management, Wealth Management, Equities, Series 7, Series 24, Corporate Finance, Fixed Income, Insurance, Bonds, IRAs, Retirement Plan..., Series 63, Wealth, Asset Managment, Hedge Funds, Estate Planning, Trading, Strategic Financial..., Fixed Annuities, Financial Modeling, Defined Benefit, Social Media, Financial Planning, Securities
Education
Loyola University New Orleans College of Law 1991 — 1994
JD, Law
Loyola University New Orleans 1991 — 1994
MBA, Business
The University of Southern Mississippi 1989 — 1991
BSBA, Economics
University of Maryland University College 1986 — 1987
Louisiana State University 1985 — 1986
Pineville High School 1981 — 1985
High School Diploma
Arthur Williams Arthur Williams's NASD Experience August 1994 - June 1996
Job Information Technology
Industry Information Technology and Services
Experience
General Electric Information Systems September 2000 - June 2003
National Associations of Securities Dealers NASD July 1996 - September 2000
NASTech / EDS July 1996 - September 2000
IBM 1987 - December 1997
NASD August 1994 - June 1996
NASD January 1994 - August 1994
IBM January 1987 - August 1993
Contracts Administration 1985 - 1987
IBM 1977 - 1985
Skills
Program Management, Project Mananger, IT Project Leadership, Requirements Analysis, Integration, Visio, Quality Assurance, Business Analysis, Software Development, Business Process, Software Documentation, Leadership, Management, Project Management, SDLC, PMO
Education
Hood College 1994 — 1998
B.A., Computer Science
Frederick Community College 1992 — 1994
Associate's Degree, General Studies, 2.0
General Electric Information Systems September 2000 - June 2003
National Associations of Securities Dealers NASD July 1996 - September 2000
NASTech / EDS July 1996 - September 2000
IBM 1987 - December 1997
NASD August 1994 - June 1996
NASD January 1994 - August 1994
IBM January 1987 - August 1993
Contracts Administration 1985 - 1987
IBM 1977 - 1985
Skills
Program Management, Project Mananger, IT Project Leadership, Requirements Analysis, Integration, Visio, Quality Assurance, Business Analysis, Software Development, Business Process, Software Documentation, Leadership, Management, Project Management, SDLC, PMO
Education
Hood College 1994 — 1998
B.A., Computer Science
Frederick Community College 1992 — 1994
Associate's Degree, General Studies, 2.0
Bill Arcuri Bill Arcuri's NASD Experience June 1985 - October 1996
Job CCO at MKM Partners LLC
Industry Financial Services
Experience
MKM Partners LLC January 2006 - Present
NASD June 1985 - October 1996
Skills
Series 4, Series 7, Series 9, Series 10, Series 24, Series 63, Series 79, Series 87, Series 99
Education
LIU Post 1981 — 1984
Master of Business Administration (MBA), Finance, General
MKM Partners LLC January 2006 - Present
NASD June 1985 - October 1996
Skills
Series 4, Series 7, Series 9, Series 10, Series 24, Series 63, Series 79, Series 87, Series 99
Education
LIU Post 1981 — 1984
Master of Business Administration (MBA), Finance, General
Ravi Radhakrishnan Ravi Radhakrishnan's NASD Experience September 1997 - December 1999
Job Automation Manager at ScienceLogic
Industry Computer Software
Experience
ScienceLogic February 2015 - Present
Fortigent, LLC June 2011 - February 2015
Computer Access LLC January 2011 - May 2011
Rosetta Stone June 2009 - December 2010
OPNET Technologies, Inc. August 2005 - April 2009
Allegent Technology Group June 2004 - August 2005
Network Solutions / Verisign March 2000 - June 2004
Integrated Chipware December 1999 - March 2000
NASD September 1997 - December 1999
V-One Corporation May 1997 - September 1997
Skills
Test Planning, SDLC, Test Cases, Selenium, Test Automation, WatiN Unit Testing..., Test Management, C#, Scrum, Software Quality..., Linux, Web Applications, ClearCase, Testing, Unix, Quality Assurance, Oracle, Requirements Analysis, SQL, System Testing, Manual Testing, Software Development, Agile Methodologies, Java, .NET
Education
Loyola College
M.Sc., Physics
Old Dominion University
MS, Computer Science
University of Madras
B.Sc., Physics
ScienceLogic February 2015 - Present
Fortigent, LLC June 2011 - February 2015
Computer Access LLC January 2011 - May 2011
Rosetta Stone June 2009 - December 2010
OPNET Technologies, Inc. August 2005 - April 2009
Allegent Technology Group June 2004 - August 2005
Network Solutions / Verisign March 2000 - June 2004
Integrated Chipware December 1999 - March 2000
NASD September 1997 - December 1999
V-One Corporation May 1997 - September 1997
Skills
Test Planning, SDLC, Test Cases, Selenium, Test Automation, WatiN Unit Testing..., Test Management, C#, Scrum, Software Quality..., Linux, Web Applications, ClearCase, Testing, Unix, Quality Assurance, Oracle, Requirements Analysis, SQL, System Testing, Manual Testing, Software Development, Agile Methodologies, Java, .NET
Education
Loyola College
M.Sc., Physics
Old Dominion University
MS, Computer Science
University of Madras
B.Sc., Physics
Adrian Cargill PMP® Adrian Cargill PMP®'s NASD Experience August 2001 - December 2003
Job Sr. Program Manager at Skills United
Industry Government Administration
Experience
Skills United January 2015 - Present
SiloSmashers July 2004 - October 2013
VICCS/IBM February 2004 - July 2004
NASD August 2001 - December 2003
Watson Wyatt March 1996 - July 2001
International Business Machines March 1981 - March 1996
Skills
Program Management, Management Consulting, Problem Solving, Agile, PMP, PMO, IT Strategy, Project Planning, IT Management, MS Project, Business Analysis, Business Process..., Business Process, Change Management, Project Portfolio..., Requirements Analysis, Project Governance, PMBOK, Agile Methodologies, Analysis, Team Leadership, Business Process..., Vendor Management, Project Management, Information Technology, Strategy, Process Improvement, Governance, Enterprise Architecture, Business Transformation, Integration, Process Engineering, IT Service Management, Government, Software Project..., Requirements Gathering, ITIL, Risk Management, Stakeholder Management, Visio, Business Process Design, Business Intelligence, Proposal Writing, SharePoint, Solution Architecture, Project Delivery, CRM, Systems Analysis, Consulting, Cross-functional Team...
Education
Kingston University 1973 — 1977
BS (with Honors), Economics & Sociology
Kingston University 1973 — 1977
Bachelor of Science (B.S.), Sociology and Economics
Skills United January 2015 - Present
SiloSmashers July 2004 - October 2013
VICCS/IBM February 2004 - July 2004
NASD August 2001 - December 2003
Watson Wyatt March 1996 - July 2001
International Business Machines March 1981 - March 1996
Skills
Program Management, Management Consulting, Problem Solving, Agile, PMP, PMO, IT Strategy, Project Planning, IT Management, MS Project, Business Analysis, Business Process..., Business Process, Change Management, Project Portfolio..., Requirements Analysis, Project Governance, PMBOK, Agile Methodologies, Analysis, Team Leadership, Business Process..., Vendor Management, Project Management, Information Technology, Strategy, Process Improvement, Governance, Enterprise Architecture, Business Transformation, Integration, Process Engineering, IT Service Management, Government, Software Project..., Requirements Gathering, ITIL, Risk Management, Stakeholder Management, Visio, Business Process Design, Business Intelligence, Proposal Writing, SharePoint, Solution Architecture, Project Delivery, CRM, Systems Analysis, Consulting, Cross-functional Team...
Education
Kingston University 1973 — 1977
BS (with Honors), Economics & Sociology
Kingston University 1973 — 1977
Bachelor of Science (B.S.), Sociology and Economics
Barri Bogner Barri Bogner's NASD Experience 1999 - 2000
Job Director at Bank of America
Industry Financial Services
Experience
Bank of America September 2015 - Present
Deutsche Bank August 2011 - August 2015
Deutsche Bank Securities August 2010 - July 2011
Arnold and Porter March 2008 - August 2010
Davis Polk & Wardwell December 2006 - March 2008
Dorsey & Whitney LLP 2000 - 2005
NASD 1999 - 2000
Skills
FINRA, Securities, Securities Regulation, Fixed Income, Corporate Governance, Corporate Law, Dodd-Frank
Education
New York Law School 1995 — 1998
The George Washington University 1991 — 1995
BA
Bank of America September 2015 - Present
Deutsche Bank August 2011 - August 2015
Deutsche Bank Securities August 2010 - July 2011
Arnold and Porter March 2008 - August 2010
Davis Polk & Wardwell December 2006 - March 2008
Dorsey & Whitney LLP 2000 - 2005
NASD 1999 - 2000
Skills
FINRA, Securities, Securities Regulation, Fixed Income, Corporate Governance, Corporate Law, Dodd-Frank
Education
New York Law School 1995 — 1998
The George Washington University 1991 — 1995
BA
Karolos Manikas, MS, PMP, ITIL Karolos Manikas, MS, PMP, ITIL's NASD Experience January 1995 - February 1996
Job Applications Service Area Lead Lockheed Martin / US Mint
Industry Information Technology and Services
Experience
Lockheed Martin January 2012 - Present
HMSHost March 2007 - January 2012
ExxonMobil February 1996 - February 2007
NASD January 1995 - February 1996
Skills
Business Intelligence, Data Warehousing, Business Objects, ITIL, Project Management, Cloud Computing, Virtualization, Risk Management, Oracle, SQLServer
Education
The George Washington University 1998 — 2000
Master Of Science, Infomation Systems
Pace University 1989 — 1993
George Mason University 2010 — 2014
PhD, Information Systems
Lockheed Martin January 2012 - Present
HMSHost March 2007 - January 2012
ExxonMobil February 1996 - February 2007
NASD January 1995 - February 1996
Skills
Business Intelligence, Data Warehousing, Business Objects, ITIL, Project Management, Cloud Computing, Virtualization, Risk Management, Oracle, SQLServer
Education
The George Washington University 1998 — 2000
Master Of Science, Infomation Systems
Pace University 1989 — 1993
George Mason University 2010 — 2014
PhD, Information Systems
Stefan Goslawski Stefan Goslawski's NASD Experience 1972 - 1987
Job Founder & Senior Program Advisor at Community Bike Works
Industry Nonprofit Organization Management
Experience
Independent Contractor June 2013 - Present
Community Bike Works June 2013 - June 2015
Community Bike Works: Youth Development & Work Ethic Programs September 1994 - June 2013
Bike Cellar 1987 - 2001
NASD 1972 - 1987
Skills
Teaching, Non-profits, Grant Writing, Fundraising, Budgeting, Board Development, Program Development, Grants, Nonprofit Leadership, Non-profit..., Volunteer Management, Stewardship, Fiscal Management, Non-profit Development, Program Evaluation, Community Development, Public Relations, Results Based..., Nonprofits, Newsletters, Budgets, Training, Community Outreach, Research, Social Media
Education
Lehigh University
M.Ed., Education
Muhlenberg College
B.S., Natural Sciences/Minor in Psycholgy
Independent Contractor June 2013 - Present
Community Bike Works June 2013 - June 2015
Community Bike Works: Youth Development & Work Ethic Programs September 1994 - June 2013
Bike Cellar 1987 - 2001
NASD 1972 - 1987
Skills
Teaching, Non-profits, Grant Writing, Fundraising, Budgeting, Board Development, Program Development, Grants, Nonprofit Leadership, Non-profit..., Volunteer Management, Stewardship, Fiscal Management, Non-profit Development, Program Evaluation, Community Development, Public Relations, Results Based..., Nonprofits, Newsletters, Budgets, Training, Community Outreach, Research, Social Media
Education
Lehigh University
M.Ed., Education
Muhlenberg College
B.S., Natural Sciences/Minor in Psycholgy
Pamela Adams, PMP, CPIM, CMIIP, L/SS Pamela Adams, PMP, CPIM, CMIIP, L/SS's NASD Experience 1994 - July 1999
Job Configuration Management Center of Excellence Leader at HP Enterprise Services
Industry Information Technology and Services
Experience
HP Enterprise Services April 2011 - Present
MPWV - Maryland, Pennsylvania, West Virginia Meat Goat Producers Association 2006 - Present
SafeGuard Services, an HP company December 2009 - April 2011
HP Enterprise Services January 2009 - May 2010
EDS 1994 - 2009
Merant 1994 - 2000
NASD 1994 - July 1999
The National Exchange Club 1990 - 1996
Questicon (formally Oriole Software) 1984 - 1994
Merchant Marine Benefits Association 1978 - 1984
Skills
Software Configuration..., Change Management, Release Management, Software Project..., Quality Assurance, Quality Auditing, Configuration Management, SDLC, PMP, ITIL, Program Management, Integration, Project Portfolio..., MS Project, Process Improvement, Requirements Analysis, Software Documentation, IT Strategy, CMMI, Leadership, Project Management, Management, IT Management, PMO, Business Process, Outsourcing, IT Service Management, Vendor Management, Enterprise Architecture, System Deployment, Project Delivery, Requirements Management, Business Process..., Resource Management, IT Outsourcing, Disaster Recovery, Governance, SharePoint, Service Delivery, IT Operations, Visio, Business Analysis, Requirements Gathering, Solution Architecture, Data Center, Software Development, Cloud Computing, Information Technology, Business Intelligence, Enterprise Software
Education
Carroll Community College 2000 — 2003
AA, Legal Studies
University of Maryland Baltimore County 1980 — 1985
BS, Management Information Systems
Catonsville Community College 1975 — 1980
AA, Data Processing
HP Enterprise Services April 2011 - Present
MPWV - Maryland, Pennsylvania, West Virginia Meat Goat Producers Association 2006 - Present
SafeGuard Services, an HP company December 2009 - April 2011
HP Enterprise Services January 2009 - May 2010
EDS 1994 - 2009
Merant 1994 - 2000
NASD 1994 - July 1999
The National Exchange Club 1990 - 1996
Questicon (formally Oriole Software) 1984 - 1994
Merchant Marine Benefits Association 1978 - 1984
Skills
Software Configuration..., Change Management, Release Management, Software Project..., Quality Assurance, Quality Auditing, Configuration Management, SDLC, PMP, ITIL, Program Management, Integration, Project Portfolio..., MS Project, Process Improvement, Requirements Analysis, Software Documentation, IT Strategy, CMMI, Leadership, Project Management, Management, IT Management, PMO, Business Process, Outsourcing, IT Service Management, Vendor Management, Enterprise Architecture, System Deployment, Project Delivery, Requirements Management, Business Process..., Resource Management, IT Outsourcing, Disaster Recovery, Governance, SharePoint, Service Delivery, IT Operations, Visio, Business Analysis, Requirements Gathering, Solution Architecture, Data Center, Software Development, Cloud Computing, Information Technology, Business Intelligence, Enterprise Software
Education
Carroll Community College 2000 — 2003
AA, Legal Studies
University of Maryland Baltimore County 1980 — 1985
BS, Management Information Systems
Catonsville Community College 1975 — 1980
AA, Data Processing
Scott Cairns's NASD Experience 2003 - 2003
Job
Industry Information Technology and Services
Experience
Fidelity Investments February 2009 - Present
Wachovia Capital Markets January 2004 - February 2009
Wachovia Securities 2004 - February 2009
Solucient 2003 - 2004
NASD 2003 - 2003
N.A.S.D 2003 - 2003
Boxtone (Formerly Panacya) 1999 - 2003
CompuCredit August 1997 - December 1999
Visionary Systems August 1997 - December 1999
TMG Financial Products 1993 - 1997
Skills
Oracle, Microsoft SQL Server, Cognos, SDLC, Sybase, Business Analysis, Agile Methodologies, Data Warehousing, Trading Systems, Fixed Income, Vendor Management, Data Modeling, Netezza, Bloomberg AIM, Bloomberg Terminal, Bloomberg Data License, Great Highland Bagpipe
Education
Baruch College, City University of New York (CUNY) 1987 — 1991
MBA
Baruch College, City University of New York (CUNY) 1987 — 1991
MBA
State University of New York College at Buffalo 1980 — 1984
BS
Sweet Home 1978 — 1981
Fidelity Investments February 2009 - Present
Wachovia Capital Markets January 2004 - February 2009
Wachovia Securities 2004 - February 2009
Solucient 2003 - 2004
NASD 2003 - 2003
N.A.S.D 2003 - 2003
Boxtone (Formerly Panacya) 1999 - 2003
CompuCredit August 1997 - December 1999
Visionary Systems August 1997 - December 1999
TMG Financial Products 1993 - 1997
Skills
Oracle, Microsoft SQL Server, Cognos, SDLC, Sybase, Business Analysis, Agile Methodologies, Data Warehousing, Trading Systems, Fixed Income, Vendor Management, Data Modeling, Netezza, Bloomberg AIM, Bloomberg Terminal, Bloomberg Data License, Great Highland Bagpipe
Education
Baruch College, City University of New York (CUNY) 1987 — 1991
MBA
Baruch College, City University of New York (CUNY) 1987 — 1991
MBA
State University of New York College at Buffalo 1980 — 1984
BS
Sweet Home 1978 — 1981
Kimberly Unger's NASD Experience March 1994 - July 1996
Job Association Manager in Financial Services Industry and Attorney
Industry Nonprofit Organization Management
Experience
The Security Traders Association of New York, Inc. (STANY) July 1996 - Present
NASD March 1994 - July 1996
NASD/FINRA-Dist #10 NY 1994 - 1996
Gruntal & Co., Inc. September 1992 - March 1994
Prudential Securities April 1990 - September 1992
Drexel Burnham Lambert February 1989 - March 1990
Kelly Drye & Warren May 1987 - February 1989
Wilson Elser September 1983 - May 1987
Skills
Fundraising, Securities, Nonprofits, Event Planning, Volunteer Management, Event Management, Non-profits, Investments, Trading, Conference Coordination, Securities Regulation, Series 7, Capital Markets, Financial Services, Risk Management, Investor Relations, Equities, FINRA, Options, Series 63, Hedge Funds, Equity Trading, Financial Markets, Litigation, Derivatives, Office Management, Fundraisers, Compliance, Events, Customer Service, Database Administration, Securities Litigation, Alternative Investments, Fixed Income, Illustrator, Writing, Microsoft Office, Adobe Creative Suite, Negotiation, Graphic Design, Contract Negotiation, Office Administration, Association Management, Corporate Events, Board Relations, Private Equity, Commodity, Emerging Markets, Market Structure, Philanthropy
Education
Villanova University School of Law 1980 — 1983
JD
Rosemont College 1977 — 1980
B.S.
Shillington School of Graphic Design 2013 — 2014
The Security Traders Association of New York, Inc. (STANY) July 1996 - Present
NASD March 1994 - July 1996
NASD/FINRA-Dist #10 NY 1994 - 1996
Gruntal & Co., Inc. September 1992 - March 1994
Prudential Securities April 1990 - September 1992
Drexel Burnham Lambert February 1989 - March 1990
Kelly Drye & Warren May 1987 - February 1989
Wilson Elser September 1983 - May 1987
Skills
Fundraising, Securities, Nonprofits, Event Planning, Volunteer Management, Event Management, Non-profits, Investments, Trading, Conference Coordination, Securities Regulation, Series 7, Capital Markets, Financial Services, Risk Management, Investor Relations, Equities, FINRA, Options, Series 63, Hedge Funds, Equity Trading, Financial Markets, Litigation, Derivatives, Office Management, Fundraisers, Compliance, Events, Customer Service, Database Administration, Securities Litigation, Alternative Investments, Fixed Income, Illustrator, Writing, Microsoft Office, Adobe Creative Suite, Negotiation, Graphic Design, Contract Negotiation, Office Administration, Association Management, Corporate Events, Board Relations, Private Equity, Commodity, Emerging Markets, Market Structure, Philanthropy
Education
Villanova University School of Law 1980 — 1983
JD
Rosemont College 1977 — 1980
B.S.
Shillington School of Graphic Design 2013 — 2014
Bill Bone's NASD Experience 1993 - 2000
Job CTO, Automotive Solutions at Aras Corporation
Industry Information Technology and Services
Experience
Aras Corporation February 2014 - Present
General Motors September 2010 - Present
Hewlett-Packard June 2008 - August 2010
Rolls-Royce 2007 - 2008
NASD 1993 - 2000
Universal Systems Inc. October 1989 - May 1993
EDS January 1985 - October 1989
General Motors Corporation (GM) 1973 - 1984
Skills
IT Strategy, Enterprise Architecture, Program Management, Strategy, Business Strategy, Integration, ERP, SOA, Architecture, Systems Engineering, Software Development, High Performance..., Manufacturing, Cloud Computing, Engineering, Requirements Analysis, ITIL, IT Management, Solution Architecture, PMP, IT Service Management, Testing, Project Planning, Cross-functional Team..., Enterprise Software, Outsourcing, Competitive Analysis, Process Engineering, Product Management, SDLC, Information Technology, Vendor Management, System Architecture, Technical Leadership, Innovation, Software Project..., IT Outsourcing, Data Center, Product Lifecycle..., Business Intelligence, IT Operations, Process Improvement, Architectures, Infrastructure, Agile Methodologies, Business Process..., PMO, SaaS, Project Portfolio..., System Deployment
Education
Eastern Michigan University 1972 — 1973
MS
West Virginia University Institute of Technology 1967 — 1972
BS
Stanford University
Aras Corporation February 2014 - Present
General Motors September 2010 - Present
Hewlett-Packard June 2008 - August 2010
Rolls-Royce 2007 - 2008
NASD 1993 - 2000
Universal Systems Inc. October 1989 - May 1993
EDS January 1985 - October 1989
General Motors Corporation (GM) 1973 - 1984
Skills
IT Strategy, Enterprise Architecture, Program Management, Strategy, Business Strategy, Integration, ERP, SOA, Architecture, Systems Engineering, Software Development, High Performance..., Manufacturing, Cloud Computing, Engineering, Requirements Analysis, ITIL, IT Management, Solution Architecture, PMP, IT Service Management, Testing, Project Planning, Cross-functional Team..., Enterprise Software, Outsourcing, Competitive Analysis, Process Engineering, Product Management, SDLC, Information Technology, Vendor Management, System Architecture, Technical Leadership, Innovation, Software Project..., IT Outsourcing, Data Center, Product Lifecycle..., Business Intelligence, IT Operations, Process Improvement, Architectures, Infrastructure, Agile Methodologies, Business Process..., PMO, SaaS, Project Portfolio..., System Deployment
Education
Eastern Michigan University 1972 — 1973
MS
West Virginia University Institute of Technology 1967 — 1972
BS
Stanford University
Elena Hughes's NASD Experience August 2005 - January 2007
Job
Industry Financial Services
Experience
Morgan Stanley November 2013 - Present
Goldman Sachs April 2008 - November 2013
Bear Stearns January 2007 - April 2008
NASD August 2005 - January 2007
Skills
AML
Education
Rutgers University School of Law - Newark 2002 — 2005
JD
Pace University - Lubin School of Business 1996 — 2000
BBA, Cum Laude
Morgan Stanley November 2013 - Present
Goldman Sachs April 2008 - November 2013
Bear Stearns January 2007 - April 2008
NASD August 2005 - January 2007
Skills
AML
Education
Rutgers University School of Law - Newark 2002 — 2005
JD
Pace University - Lubin School of Business 1996 — 2000
BBA, Cum Laude
Brian O'Neill's NASD Experience August 2007 - December 2007
Job
Industry Law Practice
Experience
J.P. Morgan Asset Management August 2015 - Present
Miami International Holdings April 2013 - July 2015
NYSE Euronext July 2012 - April 2013
US Securities and Exchange Commission December 2007 - June 2012
NASD August 2007 - December 2007
CFTC August 2006 - December 2006
Chicago Board of Trade 1997 - 1999
United States Marine Corps July 1992 - April 1997
Skills
Equities, Securities, Derivatives, Trading, Options, FINRA, Management, Series 7, Corporate Finance, Securities Regulation, Bonds, Dark Pools, Securities Exchange Act..., ETFs, Corporate Governance, Hedge Funds, Alternative Investments, Capital Markets
Education
American University Washington College of Law 2004 — 2007
J.D.
University of Pennsylvania 2002 — 2003
M.S.Ed
Georgetown University 2000 — 2002
B.S.F.S.
College of DuPage 1998 — 2000
J.P. Morgan Asset Management August 2015 - Present
Miami International Holdings April 2013 - July 2015
NYSE Euronext July 2012 - April 2013
US Securities and Exchange Commission December 2007 - June 2012
NASD August 2007 - December 2007
CFTC August 2006 - December 2006
Chicago Board of Trade 1997 - 1999
United States Marine Corps July 1992 - April 1997
Skills
Equities, Securities, Derivatives, Trading, Options, FINRA, Management, Series 7, Corporate Finance, Securities Regulation, Bonds, Dark Pools, Securities Exchange Act..., ETFs, Corporate Governance, Hedge Funds, Alternative Investments, Capital Markets
Education
American University Washington College of Law 2004 — 2007
J.D.
University of Pennsylvania 2002 — 2003
M.S.Ed
Georgetown University 2000 — 2002
B.S.F.S.
College of DuPage 1998 — 2000
J Reswow's NASD Experience 2002 - Present
Job Legal Services Consultant and Contractor
Industry Legal Services
Experience
NASD 2002 - Present
NASD 1986 - Present
NASD 1986 - 2002
NASD 1986 - 2002
NASD 1986 - 2002
Education
Pace University - Lubin School of Business 1986 — 1996
NASD 2002 - Present
NASD 1986 - Present
NASD 1986 - 2002
NASD 1986 - 2002
NASD 1986 - 2002
Education
Pace University - Lubin School of Business 1986 — 1996
Ekta Sikder's NASD Experience 2003 - 2003
Job Partner, VKS Strategies LLC
Industry Venture Capital & Private Equity
Experience
VKS Strategies LLC 2005 - Present
Marsh 2004 - 2006
NASD 2003 - 2003
Citi 1999 - 2002
Skills
Financial Modeling, Valuation, Corporate Finance, Financial Analysis, Due Diligence, Mergers, Financial Services, Corporate Development, Business Strategy, Banking, Analytics, Venture Capital, Strategic Financial..., Start-ups, Mergers & Acquisitions
Education
University of Maryland College Park 2002 — 2004
MBA, Finance
Barnard College 1995 — 1999
BA, Economics
VKS Strategies LLC 2005 - Present
Marsh 2004 - 2006
NASD 2003 - 2003
Citi 1999 - 2002
Skills
Financial Modeling, Valuation, Corporate Finance, Financial Analysis, Due Diligence, Mergers, Financial Services, Corporate Development, Business Strategy, Banking, Analytics, Venture Capital, Strategic Financial..., Start-ups, Mergers & Acquisitions
Education
University of Maryland College Park 2002 — 2004
MBA, Finance
Barnard College 1995 — 1999
BA, Economics
Todd Griffiths's NASD Experience 1995 - 1995
Job Principal at Stride Technology and Telecommunications Consultant
Industry Telecommunications
Experience
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
FINRA 2008 - Present
Washington Gas 2005 - 2007
Washington Gas Light Company 2005 - 2007
BAE Systems Information Technology 1998 - 2007
Sprint/Nextel 2003 - 2004
Intelix, Inc. 1999 - 2000
Verizon 1998 - 1999
Ernst & Young LLP 1994 - 1997
NASD 1995 - 1995
Education
Old Dominion University 1984 — 1986
BS, Computer Science
James Madison University 1981 — 1983
Pre-engineering
Financial Industry Regulatory Authority (FINRA) January 2013 - Present
FINRA 2008 - Present
Washington Gas 2005 - 2007
Washington Gas Light Company 2005 - 2007
BAE Systems Information Technology 1998 - 2007
Sprint/Nextel 2003 - 2004
Intelix, Inc. 1999 - 2000
Verizon 1998 - 1999
Ernst & Young LLP 1994 - 1997
NASD 1995 - 1995
Education
Old Dominion University 1984 — 1986
BS, Computer Science
James Madison University 1981 — 1983
Pre-engineering
Everardo de Armas's NASD Experience 1986 - 1989
Job Branch Chief, U.S. Securities and Exchange Commission
Industry Government Administration
Experience
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission June 2005 - January 2012
Independent Consultant 1999 - 2005
Bank of America 1991 - 1999
NASD 1986 - 1989
Skills
Securities Regulation, Securities, Corporate Governance, Capital Markets, SEC, Derivatives, Financial Modeling, Fixed Income, Financial Risk, Due Diligence, Corporate Finance
Education
The Johns Hopkins University 2008 — 2009
MA, Applied Economics
New York University 1989 — 1991
Economics
Drew University 1984 — 1986
BA, Mathematics, Economics
Georgetown University 1980 — 1984
US Securities and Exchange Commission February 2012 - Present
US Securities and Exchange Commission June 2005 - January 2012
Independent Consultant 1999 - 2005
Bank of America 1991 - 1999
NASD 1986 - 1989
Skills
Securities Regulation, Securities, Corporate Governance, Capital Markets, SEC, Derivatives, Financial Modeling, Fixed Income, Financial Risk, Due Diligence, Corporate Finance
Education
The Johns Hopkins University 2008 — 2009
MA, Applied Economics
New York University 1989 — 1991
Economics
Drew University 1984 — 1986
BA, Mathematics, Economics
Georgetown University 1980 — 1984
Aysem Tkacik's NASD Experience 1998 - 2000
Job Director at Nasdaq Stock Market
Industry Financial Services
Experience
Nasdaq Stock Market DirectorNASDAQ1996 - Present
NASD 1998 - 2000
Skills
Financial Markets, Electronic Trading, Market Data, Disaster Recovery, SDLC, Trading Systems, Capital Markets, Equities, Management, Investor Relations, SQL, Derivatives, Low Latency, Equity Trading, Vendor Management, Fixed Income
Education
University of Maryland - The Graduate School 1990 — 1995
Master's Degree, Information Systems
University of Maryland Baltimore County 1989 — 1990
BS, Information Systems
Nasdaq Stock Market DirectorNASDAQ1996 - Present
NASD 1998 - 2000
Skills
Financial Markets, Electronic Trading, Market Data, Disaster Recovery, SDLC, Trading Systems, Capital Markets, Equities, Management, Investor Relations, SQL, Derivatives, Low Latency, Equity Trading, Vendor Management, Fixed Income
Education
University of Maryland - The Graduate School 1990 — 1995
Master's Degree, Information Systems
University of Maryland Baltimore County 1989 — 1990
BS, Information Systems
Andrew Creedon, CFA's NASD Experience 2005 - 2007
Job Fixed Income Research Analyst at Sun Life Financial
Industry Investment Management
Experience
Sun Life Financial 2007 - Present
NASD 2005 - 2007
Naval Sea Systems Command 2003 - 2005
Skills
Fixed Income, Asset Management
Education
University of Maryland College Park 2004 — 2007
Master of Business Administration (MBA)
Connecticut College 1999 — 2003
Bachelor's degree, Economics
Belmont High School
Sun Life Financial 2007 - Present
NASD 2005 - 2007
Naval Sea Systems Command 2003 - 2005
Skills
Fixed Income, Asset Management
Education
University of Maryland College Park 2004 — 2007
Master of Business Administration (MBA)
Connecticut College 1999 — 2003
Bachelor's degree, Economics
Belmont High School
Joseph Sciddurlo's NASD Experience
Job Compliance Examiner at NASD
Industry Financial Services
Experience
NASD
Education
Baruch College, City University of New York (CUNY) 1981 — 1987
NASD
Education
Baruch College, City University of New York (CUNY) 1981 — 1987
Alexey Sarychev's NASD Experience August 2007 - February 2010
Job Senior Software Architect at EPAM Systems
Industry Computer Software
Experience
EPAM Systems September 2013 - Present
FINRA February 2010 - September 2013
NASD August 2007 - February 2010
Experian-Scorex February 2004 - August 2007
Marketswitch Corp. May 2000 - February 2004
WebSci May 1999 - January 2000
CFT 1996 - 1999
Skills
C, C++, UNIX, Python, Netezza, Greenplum, Data Warehousing, Web Services, Unix, Database Design, Linux, Hibernate, Perl, Scalability, Software Development, Java, Visual Studio, Agile Methodologies, Ant, Multithreading, Distributed Systems, Hadoop, XML, SOAP, Java Enterprise Edition, SQL, SOA, Big Data, Oracle, Software Design, Tomcat, Spring, OOP, Software Engineering, System Architecture, Unix Shell Scripting
Education
Novosibirsk State University 1982 — 1989
MS, Physics
Novosibirsk State University (NSU) 1982 — 1989
MS, Physics
EPAM Systems September 2013 - Present
FINRA February 2010 - September 2013
NASD August 2007 - February 2010
Experian-Scorex February 2004 - August 2007
Marketswitch Corp. May 2000 - February 2004
WebSci May 1999 - January 2000
CFT 1996 - 1999
Skills
C, C++, UNIX, Python, Netezza, Greenplum, Data Warehousing, Web Services, Unix, Database Design, Linux, Hibernate, Perl, Scalability, Software Development, Java, Visual Studio, Agile Methodologies, Ant, Multithreading, Distributed Systems, Hadoop, XML, SOAP, Java Enterprise Edition, SQL, SOA, Big Data, Oracle, Software Design, Tomcat, Spring, OOP, Software Engineering, System Architecture, Unix Shell Scripting
Education
Novosibirsk State University 1982 — 1989
MS, Physics
Novosibirsk State University (NSU) 1982 — 1989
MS, Physics
Robert Tapper's NASD Experience 2000 - 2003
Job Coordinator at Citizens Advice Bureau
Industry Management Consulting
Experience
Citizens Advice Bureau ConsultantSelf-employed2003 - Present
Rocawear 2004 - 2004
NASD 2000 - 2003
Education
Fordham Gabelli School of Business 2003 — 2007
MBA, Communication & Media Management
University of Maryland Eastern Shore 1996 — 2000
BS, Mathematics
Citizens Advice Bureau ConsultantSelf-employed2003 - Present
Rocawear 2004 - 2004
NASD 2000 - 2003
Education
Fordham Gabelli School of Business 2003 — 2007
MBA, Communication & Media Management
University of Maryland Eastern Shore 1996 — 2000
BS, Mathematics
Fazli Azad's NASD Experience 1996 - 2000
Job Information Technology Management
Industry Financial Services
Experience
Freddie Mac December 2010 - Present
Freddie Mac December 2006 - July 2011
Freddie Mac December 2004 - December 2006
Interwoven November 2000 - December 2004
NASD 1996 - 2000
Skills
Requirements Analysis, Change Management, Documentation, Project Implementation, Project Planning, Account Management, Product Management, SDLC, Financial Analysis, Small Business, Website Management, Website Development, Website Administration, Software Documentation, Project Management, Operations Management, Enterprise Software, Management, ITIL, Webmaster Services, PMO, Integration
Education
American University - Kogod School of Business 2004 — 2007
MBA, Finance
Juniata College 1988 — 1992
B.S., Management
Hollidaysburg High School 1985 — 1988
Freddie Mac December 2010 - Present
Freddie Mac December 2006 - July 2011
Freddie Mac December 2004 - December 2006
Interwoven November 2000 - December 2004
NASD 1996 - 2000
Skills
Requirements Analysis, Change Management, Documentation, Project Implementation, Project Planning, Account Management, Product Management, SDLC, Financial Analysis, Small Business, Website Management, Website Development, Website Administration, Software Documentation, Project Management, Operations Management, Enterprise Software, Management, ITIL, Webmaster Services, PMO, Integration
Education
American University - Kogod School of Business 2004 — 2007
MBA, Finance
Juniata College 1988 — 1992
B.S., Management
Hollidaysburg High School 1985 — 1988
Jared Ursani's NASD Experience June 2007 - August 2007
Job Communications and Information Manager at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority December 2012 - Present
FINRA June 2008 - February 2013
Laundry Connect, Inc. September 2005 - May 2008
NASD June 2007 - August 2007
Northwestern Mutual January 2007 - May 2007
Merrill Lynch May 2006 - August 2006
Skills
Financial Modeling, Securities, Financial Analysis, Bloomberg, Valuation, Equities, Fixed Income, Due Diligence, Capital Markets, Business Analysis, Economics, Microsoft Office, Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2013
Master of Business Administration (MBA), Finance, General
Franklin & Marshall College 2004 — 2008
Business/Government, Economics
St. Augustine Prep 2000 — 2004
Financial Industry Regulatory Authority December 2012 - Present
FINRA June 2008 - February 2013
Laundry Connect, Inc. September 2005 - May 2008
NASD June 2007 - August 2007
Northwestern Mutual January 2007 - May 2007
Merrill Lynch May 2006 - August 2006
Skills
Financial Modeling, Securities, Financial Analysis, Bloomberg, Valuation, Equities, Fixed Income, Due Diligence, Capital Markets, Business Analysis, Economics, Microsoft Office, Management
Education
University of Maryland - Robert H. Smith School of Business 2010 — 2013
Master of Business Administration (MBA), Finance, General
Franklin & Marshall College 2004 — 2008
Business/Government, Economics
St. Augustine Prep 2000 — 2004
Jennifer Baronsky Casson's NASD Experience August 1997 - May 2000
Job Business Manager at St. Timothy Parish
Industry Financial Services
Experience
St. Timothy Parish May 2014 - Present
JKC Consulting January 2007 - Present
Fort Washington Investment Advisors, Inc. January 2004 - January 2007
IFS Financial Services May 2000 - January 2004
NASD August 1997 - May 2000
Skills
Investments, Securities, Portfolio Management, Asset Management, Alternative Investments, Fixed Income, Investment Strategies, Financial Analysis, Equities, Strategic Financial..., Financial Modeling, Venture Capital
Education
Xavier University 2002 — 2004
MBA, International Business
Northern Arizona University-The W. A. Franke College of Business 1993 — 1997
BSBA, Finance
Prescott High School 1989 — 1993
St. Timothy Parish May 2014 - Present
JKC Consulting January 2007 - Present
Fort Washington Investment Advisors, Inc. January 2004 - January 2007
IFS Financial Services May 2000 - January 2004
NASD August 1997 - May 2000
Skills
Investments, Securities, Portfolio Management, Asset Management, Alternative Investments, Fixed Income, Investment Strategies, Financial Analysis, Equities, Strategic Financial..., Financial Modeling, Venture Capital
Education
Xavier University 2002 — 2004
MBA, International Business
Northern Arizona University-The W. A. Franke College of Business 1993 — 1997
BSBA, Finance
Prescott High School 1989 — 1993
Gerri Walsh's NASD Experience May 2006 - July 2007
Job Senior Vice President, FINRA Investor Education & President, FINRA Investor Education Foundation
Industry Nonprofit Organization Management
Experience
FINRA Investor Education Foundation September 2011 - Present
FINRA Investor Education May 2006 - Present
nasd May 2006 - July 2007
US Securities and Exchange Commission July 1997 - May 2006
US Securities and Exchange Commission July 1994 - July 1997
Hogan & Hartson October 1989 - July 1994
Skills
Securities, Financial Services, Investments, Securities Regulation, Investment Advisory, Mutual Funds, Strategic Financial..., Non-profits, Public Speaking, Equities, Financial Analysis, AML, Retirement Planning, Economics, Program Management
Education
New York University School of Law 1986 — 1989
JD
Amherst College 1981 — 1985
BA
FINRA Investor Education Foundation September 2011 - Present
FINRA Investor Education May 2006 - Present
nasd May 2006 - July 2007
US Securities and Exchange Commission July 1997 - May 2006
US Securities and Exchange Commission July 1994 - July 1997
Hogan & Hartson October 1989 - July 1994
Skills
Securities, Financial Services, Investments, Securities Regulation, Investment Advisory, Mutual Funds, Strategic Financial..., Non-profits, Public Speaking, Equities, Financial Analysis, AML, Retirement Planning, Economics, Program Management
Education
New York University School of Law 1986 — 1989
JD
Amherst College 1981 — 1985
BA
Sean Gatz's NASD Experience July 1995 - November 2003
Job Vice President Compliance Manager J.P. Morgan Chase
Industry Financial Services
Experience
J.P. Morgan Chase November 2003 - Present
NASD July 1995 - November 2003
Education
Rockhurst University 2002 — 2005
MBA
University of Nebraska-Lincoln 1988 — 1992
B.S., Finance & Economics
J.P. Morgan Chase November 2003 - Present
NASD July 1995 - November 2003
Education
Rockhurst University 2002 — 2005
MBA
University of Nebraska-Lincoln 1988 — 1992
B.S., Finance & Economics
Brad Buie, CFA's NASD Experience 1993 - 1996
Job Portfolio Manager at Atlanta Capital Management
Industry Investment Management
Experience
Atlanta Capital Management January 2010 - Present
EARNEST Partners 2006 - 2009
Seix Advisors June 2004 - June 2006
NASD 1993 - 1996
Skills
Financial Modeling, Fixed Income, Portfolio Management, Bonds, Asset Managment, Investments, Asset Allocation, Asset Management
Education
Auburn University 1989 — 1993
BS, Finance
Auburn University, College of Business 1989 — 1993
Atlanta Capital Management January 2010 - Present
EARNEST Partners 2006 - 2009
Seix Advisors June 2004 - June 2006
NASD 1993 - 1996
Skills
Financial Modeling, Fixed Income, Portfolio Management, Bonds, Asset Managment, Investments, Asset Allocation, Asset Management
Education
Auburn University 1989 — 1993
BS, Finance
Auburn University, College of Business 1989 — 1993
Yvette Bradle's NASD Experience November 2001 - January 2007
Job Compliance Trainer at FINRA
Industry Financial Services
Experience
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
Corky Christoff's NASD Experience 2004 - 2007
Job Program Manager at FINRA
Industry Financial Services
Experience
FINRA 2007 - Present
NASD 2004 - 2007
Skills
SDLC
Education
Purdue University 1980 — 1985
BS - CEE, Electrical Engineering
FINRA 2007 - Present
NASD 2004 - 2007
Skills
SDLC
Education
Purdue University 1980 — 1985
BS - CEE, Electrical Engineering
Jeff Cotton's NASD Experience 2000 - 2003
Job Head of Compliance Americas at Aberdeen Asset Management
Industry Investment Management
Experience
Aberdeen Asset Management September 2010 - Present
Old Mutual Asset Management June 2009 - September 2010
Bank of America/Columbia Management June 2006 - June 2009
Bank of America June 2006 - June 2009
Davenport & Company LLC 2003 - 2006
FINRA 2000 - 2003
NASD 2000 - 2003
Education
Assumption College 1995 — 1999
BA, Economics
Aberdeen Asset Management September 2010 - Present
Old Mutual Asset Management June 2009 - September 2010
Bank of America/Columbia Management June 2006 - June 2009
Bank of America June 2006 - June 2009
Davenport & Company LLC 2003 - 2006
FINRA 2000 - 2003
NASD 2000 - 2003
Education
Assumption College 1995 — 1999
BA, Economics
Duane Rivera's NASD Experience 1987 - 1997
Job Senior IT Change Administrator at College Board
Industry Information Technology and Services
Experience
College Board February 2008 - Present
Fannie Mae November 1997 - November 2007
Fannie Mae April 2001 - October 2005
NASDAQ Stock Market January 1987 - November 1997
NASD 1987 - 1997
Defense Mapping Agency 1975 - 1987
Skills
Incident Management, Governance, COBIT, Infrastructure..., Financial Risk, CISA, IT Asset Management, Information Security..., IT Service Management, ITIL, IT Strategy, Information Security, IT Management, CISSP, Disaster Recovery, Integration, Requirements Analysis, PMP, SDLC, Vendor Management, Risk Management, Management, Release Management, Change Management, Business Process, Databases, Process Improvement, Visio, SharePoint, Software Project..., Analysis, Requirements Gathering, Program Management, Enterprise Architecture, Enterprise Software, Information Technology, Leadership, IT Operations, Data Center, PMO, Project Planning, Testing, Project Portfolio..., IT Audit, Security, Business Analysis, Business Process..., BMC Remedy, Infrastructure, Business Continuity
Education
PG Comm College 1992 — 1994
Howard University 1974 — 1975
Computer Science
Howard University 1970 — 1974
College Board February 2008 - Present
Fannie Mae November 1997 - November 2007
Fannie Mae April 2001 - October 2005
NASDAQ Stock Market January 1987 - November 1997
NASD 1987 - 1997
Defense Mapping Agency 1975 - 1987
Skills
Incident Management, Governance, COBIT, Infrastructure..., Financial Risk, CISA, IT Asset Management, Information Security..., IT Service Management, ITIL, IT Strategy, Information Security, IT Management, CISSP, Disaster Recovery, Integration, Requirements Analysis, PMP, SDLC, Vendor Management, Risk Management, Management, Release Management, Change Management, Business Process, Databases, Process Improvement, Visio, SharePoint, Software Project..., Analysis, Requirements Gathering, Program Management, Enterprise Architecture, Enterprise Software, Information Technology, Leadership, IT Operations, Data Center, PMO, Project Planning, Testing, Project Portfolio..., IT Audit, Security, Business Analysis, Business Process..., BMC Remedy, Infrastructure, Business Continuity
Education
PG Comm College 1992 — 1994
Howard University 1974 — 1975
Computer Science
Howard University 1970 — 1974
Jim Gallalee's NASD Experience February 1995 - June 1998
Job
Industry Information Technology and Services
Experience
Assurant Employee Benefits April 2004 - Present
RiverPoint August 1998 - March 2004
NASD February 1995 - June 1998
Education
University of Maryland University College 1987 — 1989
The George Washington University 1983 — 1986
Northwestern University 1977 — 1978
Lake Forest College 1975 — 1977
Assurant Employee Benefits April 2004 - Present
RiverPoint August 1998 - March 2004
NASD February 1995 - June 1998
Education
University of Maryland University College 1987 — 1989
The George Washington University 1983 — 1986
Northwestern University 1977 — 1978
Lake Forest College 1975 — 1977
Christina Hensler's NASD Experience January 1998 - November 1999
Job Vice President Conflicts Management at Barclays Capital
Industry Investment Banking
Experience
Barclays Capital January 2005 - Present
Doyle New York June 2003 - December 2004
Credit Suisse First Boston November 1999 - June 2002
NASD January 1998 - November 1999
Skills
Securities, Series 7, Capital Markets, Investment Banking, Conflicts, Series 24, Equities, Series 63, Asset Managment
Education
Lehigh University 1989 — 1993
BA, International Relations, Government
Barclays Capital January 2005 - Present
Doyle New York June 2003 - December 2004
Credit Suisse First Boston November 1999 - June 2002
NASD January 1998 - November 1999
Skills
Securities, Series 7, Capital Markets, Investment Banking, Conflicts, Series 24, Equities, Series 63, Asset Managment
Education
Lehigh University 1989 — 1993
BA, International Relations, Government
James Shorris's NASD Experience March 2006 - July 2007
Job Executive Vice President, Deputy General Counsel for Regulatory Affairs at LPL Financial
Industry Financial Services
Experience
FireSolutions, Inc. January 2015 - Present
LPL Financial January 2012 - Present
Clemente Course in the Humanities® January 2010 - Present
LPL Financial September 2011 - December 2011
LPL Financial April 2011 - September 2011
FINRA August 2007 - April 2011
NASD March 2006 - July 2007
NASD November 2003 - March 2006
Bingham McCutchen October 2002 - November 2003
Allmerica Investments/VeraVest Investments 2001 - 2002
Skills
Series 7 and 24 licensed, Securities, Series 7, FINRA, Securities Regulation, Broker-Dealer
Education
Harvard Business School 2012 — 2012
Executive Leadership Program
Macalester College 1978 — 1982
BA cum laude, Political Science
University of Stirling 1980 — 1981
exchange student, Political Science
Case Western Reserve University School of Law
JD, Law
FireSolutions, Inc. January 2015 - Present
LPL Financial January 2012 - Present
Clemente Course in the Humanities® January 2010 - Present
LPL Financial September 2011 - December 2011
LPL Financial April 2011 - September 2011
FINRA August 2007 - April 2011
NASD March 2006 - July 2007
NASD November 2003 - March 2006
Bingham McCutchen October 2002 - November 2003
Allmerica Investments/VeraVest Investments 2001 - 2002
Skills
Series 7 and 24 licensed, Securities, Series 7, FINRA, Securities Regulation, Broker-Dealer
Education
Harvard Business School 2012 — 2012
Executive Leadership Program
Macalester College 1978 — 1982
BA cum laude, Political Science
University of Stirling 1980 — 1981
exchange student, Political Science
Case Western Reserve University School of Law
JD, Law
Andrew Kohler's NASD Experience 2005 - 2005
Job Managing Director BrokerDealer Compliance
Industry Legal Services
Experience
Merrill Lynch January 2015 - Present
Bank of America Merrill Lynch 2005 - 2011
Bank of America Merrill Lynch 2005 - 2011
Merrill Lynch October 2005 - June 2009
NASD 2005 - 2005
Oppenheimer & Co. 2003 - 2005
McGuire & Associates 2001 - 2003
Merrill Lynch 2000 - 2001
Kings County District Attorney 1995 - 2000
Kings County District Attorney's Office 1995 - 2000
Skills
Securities Regulation, Securities Litigation, Arbitration, FINRA, Securities, Litigation, Commercial Litigation, Corporate Governance, Licensing, Criminal Law, AML, Legal Compliance, Corporate Law, Fraud, Legal Research, Internal Investigations, Legal Assistance
Education
Quinnipiac University School of Law 1992 — 1995
City University of New York-Brooklyn College 1985 — 1990
BA, History
Merrill Lynch January 2015 - Present
Bank of America Merrill Lynch 2005 - 2011
Bank of America Merrill Lynch 2005 - 2011
Merrill Lynch October 2005 - June 2009
NASD 2005 - 2005
Oppenheimer & Co. 2003 - 2005
McGuire & Associates 2001 - 2003
Merrill Lynch 2000 - 2001
Kings County District Attorney 1995 - 2000
Kings County District Attorney's Office 1995 - 2000
Skills
Securities Regulation, Securities Litigation, Arbitration, FINRA, Securities, Litigation, Commercial Litigation, Corporate Governance, Licensing, Criminal Law, AML, Legal Compliance, Corporate Law, Fraud, Legal Research, Internal Investigations, Legal Assistance
Education
Quinnipiac University School of Law 1992 — 1995
City University of New York-Brooklyn College 1985 — 1990
BA, History
Paul Gregg's NASD Experience November 1984 - January 1987
Job Managing Director COO FICC Macquarie
Industry Investment Banking
Experience
Macquarie Group June 2011 - Present
Standard Chartered Bank December 2008 - June 2011
Barclays Capital September 2008 - December 2008
Lehman Brothers March 2007 - September 2008
Citigroup 1989 - 2007
NASD November 1984 - January 1987
Skills
Dodd-Frank, Fixed Income, Derivatives, Commodity, Structured Products, Trading, Options, Equities, Portfolio Management, Investment Banking, Risk Management, FX Options, Financial Markets, Capital Markets, Hedge Funds, Middle Office
Education
New York University - Leonard N. Stern School of Business 1990 — 1992
MBA, Finance
Manhattan College 1980 — 1984
Macquarie Group June 2011 - Present
Standard Chartered Bank December 2008 - June 2011
Barclays Capital September 2008 - December 2008
Lehman Brothers March 2007 - September 2008
Citigroup 1989 - 2007
NASD November 1984 - January 1987
Skills
Dodd-Frank, Fixed Income, Derivatives, Commodity, Structured Products, Trading, Options, Equities, Portfolio Management, Investment Banking, Risk Management, FX Options, Financial Markets, Capital Markets, Hedge Funds, Middle Office
Education
New York University - Leonard N. Stern School of Business 1990 — 1992
MBA, Finance
Manhattan College 1980 — 1984
Bill Synnott's NASD Experience 1985 - 1992
Job Clinical Research Coordinator at INTEGRIS Health
Industry Telecommunications
Experience
INTEGRIS Health November 2010 - Present
Centurytel September 1999 - June 2009
Systems Research and Applications April 1995 - August 1999
SRA 1995 - 1999
NASD 1985 - 1992
Skills
Clinical Research, Medical Devices, Healthcare, Healthcare Information..., EMR, HIPAA, Data Analysis, Hospitals, EHR, Software Documentation, Epic Systems, Data Management
Education
Oklahoma City Community College 2009 — 2011
Associate of Science (A.S.), Clinical Research Coordinator, 3.75
Florida Gulf Coast University 2003 — 2009
MSCIS, Computer Information Systems
The University of Texas at Arlington 1992 — 1994
MSIS, Information Systems
Oklahoma City University 1973 — 1975
MBA, Marketing
Central Connecticut State University 1970 — 1972
BS, Business Administration
INTEGRIS Health November 2010 - Present
Centurytel September 1999 - June 2009
Systems Research and Applications April 1995 - August 1999
SRA 1995 - 1999
NASD 1985 - 1992
Skills
Clinical Research, Medical Devices, Healthcare, Healthcare Information..., EMR, HIPAA, Data Analysis, Hospitals, EHR, Software Documentation, Epic Systems, Data Management
Education
Oklahoma City Community College 2009 — 2011
Associate of Science (A.S.), Clinical Research Coordinator, 3.75
Florida Gulf Coast University 2003 — 2009
MSCIS, Computer Information Systems
The University of Texas at Arlington 1992 — 1994
MSIS, Information Systems
Oklahoma City University 1973 — 1975
MBA, Marketing
Central Connecticut State University 1970 — 1972
BS, Business Administration
Marcia Asquith's NASD Experience July 2004 - October 2007
Job SVP/ Corporate Secretary FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA) (formerly NASD) January 2008 - Present
FINRA November 2006 - December 2007
NASD July 2004 - October 2007
NASD February 2003 - July 2004
NASD March 2001 - February 2003
U.S. Senate Committee on Agriculture, Nutrition and Forestry March 1995 - March 2001
USDA August 1990 - October 1995
Skills
Government Relations, Public Policy, Strategic Planning, Financial Services, Strategic Communications, Policy Analysis, Government, Capital Markets, Securities Regulation
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
Doctor of Law (JD)
Oklahoma State University 1983 — 1987
B.A., Economics
Muskogee High School 1980 — 1983
Financial Industry Regulatory Authority (FINRA) (formerly NASD) January 2008 - Present
FINRA November 2006 - December 2007
NASD July 2004 - October 2007
NASD February 2003 - July 2004
NASD March 2001 - February 2003
U.S. Senate Committee on Agriculture, Nutrition and Forestry March 1995 - March 2001
USDA August 1990 - October 1995
Skills
Government Relations, Public Policy, Strategic Planning, Financial Services, Strategic Communications, Policy Analysis, Government, Capital Markets, Securities Regulation
Education
The College of William and Mary - Marshall Wythe Law School 1987 — 1990
Doctor of Law (JD)
Oklahoma State University 1983 — 1987
B.A., Economics
Muskogee High School 1980 — 1983
Peter Schuman's NASD Experience 1994 - 1997
Job Sr. Director, Investor Relations at Atmel Corporation
Industry Semiconductors
Experience
Atmel Corporation 2010 - Present
Intel September 2007 - July 2010
Coherent, Inc. September 1997 - August 2007
The Nasdaq Stock Market 1994 - 1997
NASD 1994 - 1997
Skills
Investor Relations, Financial Modeling, Communication Training, Mergers, Corporate Communications, IPO, Mergers & Acquisitions, Securities, Strategy, Business Development, Start-ups, Competitive Analysis, SEC filings, Public Relations, Corporate Development, Venture Capital, Strategic Partnerships, Annual Reports, Marketing
Education
Pace University - Lubin School of Business
MBA, Investments & Intl. Business
University of Maryland College Park 1984 — 1988
BS, Finance
Atmel Corporation 2010 - Present
Intel September 2007 - July 2010
Coherent, Inc. September 1997 - August 2007
The Nasdaq Stock Market 1994 - 1997
NASD 1994 - 1997
Skills
Investor Relations, Financial Modeling, Communication Training, Mergers, Corporate Communications, IPO, Mergers & Acquisitions, Securities, Strategy, Business Development, Start-ups, Competitive Analysis, SEC filings, Public Relations, Corporate Development, Venture Capital, Strategic Partnerships, Annual Reports, Marketing
Education
Pace University - Lubin School of Business
MBA, Investments & Intl. Business
University of Maryland College Park 1984 — 1988
BS, Finance
Amy Farris's NASD Experience 1997 - 1999
Job Director and Assistant General Counsel at Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch December 2004 - Present
Sidley Austin LLP 1999 - 2004
NASD 1997 - 1999
Skills
Securities Regulation, Compliance, Money Market, AML, FINRA, Fixed Income, Mutual Funds
Education
Lafayette College
Rutgers University School of Law - Camden
J.D. 1996
Bank of America Merrill Lynch December 2004 - Present
Sidley Austin LLP 1999 - 2004
NASD 1997 - 1999
Skills
Securities Regulation, Compliance, Money Market, AML, FINRA, Fixed Income, Mutual Funds
Education
Lafayette College
Rutgers University School of Law - Camden
J.D. 1996
Thomas Fursa's NASD Experience 2003 - 2004
Job Team Leader at Office of the Comptroller of the Currency
Industry Banking
Experience
Office of the Comptroller of the Currency 2012 - Present
Office of the Comptroller of the Currency 2006 - 2012
United States Securities and Exchange Commission 2004 - 2006
NASD 2003 - 2004
Ivy Asset Management 2001 - 2003
KPMG 1999 - 2001
Education
Hofstra University
MBA, Accounting
Office of the Comptroller of the Currency 2012 - Present
Office of the Comptroller of the Currency 2006 - 2012
United States Securities and Exchange Commission 2004 - 2006
NASD 2003 - 2004
Ivy Asset Management 2001 - 2003
KPMG 1999 - 2001
Education
Hofstra University
MBA, Accounting
Ronelle Hill's NASD Experience April 2001 - October 2002
Job CEO at Hillside Technology
Industry Information Technology and Services
Experience
Hillside Technology August 2007 - Present
ManTech October 2002 - August 2008
NASD April 2001 - October 2002
Cidera Inc April 2000 - January 2001
Skills
Troubleshooting, Process Improvement, Government, Change Management
Education
Pennsylvania State University-Erie Campus 1994 — 1998
Lemington Elementary
Hillside Technology August 2007 - Present
ManTech October 2002 - August 2008
NASD April 2001 - October 2002
Cidera Inc April 2000 - January 2001
Skills
Troubleshooting, Process Improvement, Government, Change Management
Education
Pennsylvania State University-Erie Campus 1994 — 1998
Lemington Elementary
Sloane Melanie (Small) Rossi's NASD Experience 2000 - 2000
Job Attorney at Specialized Healthcare Partners
Industry Hospital & Health Care
Experience
Specialized Healthcare Partners, LLC March 2015 - Present
Disability Assistance Group, LLC September 2014 - March 2015
Memorial Healthcare System September 2001 - September 2010
Braverman & Rossi February 2001 - March 2001
Ujena Swimwear January 1990 - August 2000
Wilmer, Cutler, & Pickering December 1999 - March 2000
NASD 2000 - 2000
Skills
Mediation, Legal Research, Arbitration, Courts, Contract Law, Health Law, Legal Issues, Employment Law, Legal Advice, Criminal Law, Depositions, Registered as an..., Social Security...
Education
Nova Southeastern University—Shepard Broad Law Center 1998 — 2000
Juris Doctorate, Law
Florida Atlantic University 1994 — 1997
Bachelor of Science, Marketing
Specialized Healthcare Partners, LLC March 2015 - Present
Disability Assistance Group, LLC September 2014 - March 2015
Memorial Healthcare System September 2001 - September 2010
Braverman & Rossi February 2001 - March 2001
Ujena Swimwear January 1990 - August 2000
Wilmer, Cutler, & Pickering December 1999 - March 2000
NASD 2000 - 2000
Skills
Mediation, Legal Research, Arbitration, Courts, Contract Law, Health Law, Legal Issues, Employment Law, Legal Advice, Criminal Law, Depositions, Registered as an..., Social Security...
Education
Nova Southeastern University—Shepard Broad Law Center 1998 — 2000
Juris Doctorate, Law
Florida Atlantic University 1994 — 1997
Bachelor of Science, Marketing
Phil Bauch's NASD Experience 1996 - 2002
Job Securities and Financial Services Compliance Counsel
Industry Financial Services
Experience
Various Banks and Broker-Dealers January 2002 - Present
Frink-Hamlett Legal Solutions, LLC 2005 - 2006
NASD Regulation, Inc. 1996 - 2002
NASD 1996 - 2002
FINRA (NASD) 1996 - 2002
Law Offices of Joel Schonfeld 1986 - 1986
NYS ATTY Gen. - Office of Investor Protection and Securities 1984 - 1985
Skills
Compliance, Securities, Financial Services, Financial Risk, Banking, Investment Banking, Equities, Trading, Asset Management, Series 7, AML, Fixed Income, Hedge Funds, FINRA, Risk Management, Options, Operational Risk, Capital Markets, Derivatives, Investment Advisory, Prime Brokerage, Equity Trading, Loans, USA PATRIOT Act, OFAC, Series 24, Financial Regulation, Mutual Funds, Securities Regulation
Education
Brooklyn Law School 1982 — 1985
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Brooklyn Law School
Various Banks and Broker-Dealers January 2002 - Present
Frink-Hamlett Legal Solutions, LLC 2005 - 2006
NASD Regulation, Inc. 1996 - 2002
NASD 1996 - 2002
FINRA (NASD) 1996 - 2002
Law Offices of Joel Schonfeld 1986 - 1986
NYS ATTY Gen. - Office of Investor Protection and Securities 1984 - 1985
Skills
Compliance, Securities, Financial Services, Financial Risk, Banking, Investment Banking, Equities, Trading, Asset Management, Series 7, AML, Fixed Income, Hedge Funds, FINRA, Risk Management, Options, Operational Risk, Capital Markets, Derivatives, Investment Advisory, Prime Brokerage, Equity Trading, Loans, USA PATRIOT Act, OFAC, Series 24, Financial Regulation, Mutual Funds, Securities Regulation
Education
Brooklyn Law School 1982 — 1985
Juris Doctor, Banking, Corporate, Finance, and Securities Law
Brooklyn Law School
Peter Lydzinski's NASD Experience May 1999 - August 2001
Job Director, GWIM Senior Compliance Manager at Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch July 2014 - Present
Janney Montgomery Scott September 2001 - July 2014
NASD May 1999 - August 2001
Skills
Securities, Investment Advisory, Series 7, AML, Securities Regulation, Estate Planning, Equities, Wealth Management, Hedge Funds, Fixed Income, Asset Management, Investments, Financial Services, Alternative Investments, Uniform Combined State..., Anti Money Laundering
Education
The Catholic University of America, Columbus School of Law 1996 — 1999
JD, Law
American University - Kogod School of Business 1992 — 1996
BSBA, International Finance
Bank of America Merrill Lynch July 2014 - Present
Janney Montgomery Scott September 2001 - July 2014
NASD May 1999 - August 2001
Skills
Securities, Investment Advisory, Series 7, AML, Securities Regulation, Estate Planning, Equities, Wealth Management, Hedge Funds, Fixed Income, Asset Management, Investments, Financial Services, Alternative Investments, Uniform Combined State..., Anti Money Laundering
Education
The Catholic University of America, Columbus School of Law 1996 — 1999
JD, Law
American University - Kogod School of Business 1992 — 1996
BSBA, International Finance
Rosemarie Bradford's NASD Experience July 1981 - November 1996
Job Independent Computer Software Professional
Industry Information Technology and Services
Experience
WebMD May 2015 - Present
National Football League January 2015 - May 2015
Time Warner Inc. April 2012 - January 2015
Freddie Mac February 2010 - November 2012
FINRA May 2008 - February 2010
Fannie Mae February 2002 - October 2007
AETEA Information Technology September 1998 - February 2002
Bell Atlantic December 1996 - September 1998
NASD July 1981 - November 1996
Skills
SDLC, Quality Assurance, Software Project..., Business Analysis, Release Management, Requirements Analysis, Data Warehousing, Business Intelligence, Agile Methodologies, Program Management, Vendor Management, PMO, IT Strategy, Requirements Gathering, Project Portfolio..., Agile Project Management
Education
Penn State University 1973 — 1976
Bachelor of Science (B.S.), Mathematics
WebMD May 2015 - Present
National Football League January 2015 - May 2015
Time Warner Inc. April 2012 - January 2015
Freddie Mac February 2010 - November 2012
FINRA May 2008 - February 2010
Fannie Mae February 2002 - October 2007
AETEA Information Technology September 1998 - February 2002
Bell Atlantic December 1996 - September 1998
NASD July 1981 - November 1996
Skills
SDLC, Quality Assurance, Software Project..., Business Analysis, Release Management, Requirements Analysis, Data Warehousing, Business Intelligence, Agile Methodologies, Program Management, Vendor Management, PMO, IT Strategy, Requirements Gathering, Project Portfolio..., Agile Project Management
Education
Penn State University 1973 — 1976
Bachelor of Science (B.S.), Mathematics
Ken Clendenin's NASD Experience May 2007 - August 2007
Job Lawyer
Industry Law Practice
Experience
Capital One July 2012 - Present
O'Hagan Spencer 2011 - 2012
Funk & Bolton, P.A. 2009 - 2011
LeClair Ryan May 2008 - July 2008
NASD May 2007 - August 2007
Jones Day July 2004 - July 2006
Senator John Warner May 2003 - July 2003
Greenberg Traurig May 2002 - July 2002
Skills
Litigation, Commercial Litigation, Courts, Legal Research, Trials, Corporate Law, Unfair Competition, Real Estate, Torts, Depositions, Procurement Contracts, IT Procurement, Contract Negotiation, Contract Law, Supplier Negotiation, Supplier Sourcing, Supplier Risk Management, Supply Chain Management, Contract Management, Mergers, Legal Writing, Trade Secrets, Product Liability, Legal Assistance, Civil Litigation
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
J.D., cum laude (top 15% of class)
Colgate University 2000 — 2004
BA, Double Major, Political Science & Philosophy/Religion
Capital One July 2012 - Present
O'Hagan Spencer 2011 - 2012
Funk & Bolton, P.A. 2009 - 2011
LeClair Ryan May 2008 - July 2008
NASD May 2007 - August 2007
Jones Day July 2004 - July 2006
Senator John Warner May 2003 - July 2003
Greenberg Traurig May 2002 - July 2002
Skills
Litigation, Commercial Litigation, Courts, Legal Research, Trials, Corporate Law, Unfair Competition, Real Estate, Torts, Depositions, Procurement Contracts, IT Procurement, Contract Negotiation, Contract Law, Supplier Negotiation, Supplier Sourcing, Supplier Risk Management, Supply Chain Management, Contract Management, Mergers, Legal Writing, Trade Secrets, Product Liability, Legal Assistance, Civil Litigation
Education
The Catholic University of America, Columbus School of Law 2006 — 2009
J.D., cum laude (top 15% of class)
Colgate University 2000 — 2004
BA, Double Major, Political Science & Philosophy/Religion
Ismael (Ish) Manzanares Jr.'s NASD Experience 1995 - August 1997
Job Director, Consulting at NRS
Industry Financial Services
Experience
NRS March 2010 - Present
Manzanares Compliance Solutions August 2009 - September 2010
Prudential Financial March 2009 - August 2009
Manzanares Compliance Solutions January 2008 - February 2009
NAIBD January 2007 - 2008
Madison Avenue Securities 2005 - 2007
Asset Marketing Systems Insurance and Financial Services, LLC 2005 - 2007
Foresters Equity Services 2004 - 2007
Foresters Equity Services 1997 - 2004
NASD 1995 - August 1997
Education
Columbia University in the City of New York 1980 — 1984
NRS March 2010 - Present
Manzanares Compliance Solutions August 2009 - September 2010
Prudential Financial March 2009 - August 2009
Manzanares Compliance Solutions January 2008 - February 2009
NAIBD January 2007 - 2008
Madison Avenue Securities 2005 - 2007
Asset Marketing Systems Insurance and Financial Services, LLC 2005 - 2007
Foresters Equity Services 2004 - 2007
Foresters Equity Services 1997 - 2004
NASD 1995 - August 1997
Education
Columbia University in the City of New York 1980 — 1984
Alfred D'urso's NASD Experience February 1988 - September 1994
Job Deputy CCO / Sr. Compliance Director at AXAEquitable / AXA Distributors LLC
Industry Financial Services
Experience
AXA-Equitable / AXA Distributors LLC August 2011 - Present
Park Avenue Securities LLC April 2007 - August 2011
Park Avenue Securities May 2005 - April 2007
Park Avenue Securities llc November 1999 - May 2005
New York Life / NYLIFE Securities September 1994 - September 1999
NASD February 1988 - September 1994
Skills
FINRA, Securities, Mutual Funds, Insurance, Fixed Annuities, Variable Annuities, Series 7, Investments, AML, KYC, Life Insurance, SEC, Retirement Planning, Series 63, Series 24, Trading, Risk Management, Fixed Income, Investment Advisory, OFAC, Management, Asset Management, Broker-Dealer, Investment Advisers Act, Training, Financial Services, Series 65, Securities Regulation, Uniform Combined State..., USA PATRIOT Act
Education
Dowling College 1978 — 1983
Bachelor of Science (B.S.), Business Administration and Management, General
AXA-Equitable / AXA Distributors LLC August 2011 - Present
Park Avenue Securities LLC April 2007 - August 2011
Park Avenue Securities May 2005 - April 2007
Park Avenue Securities llc November 1999 - May 2005
New York Life / NYLIFE Securities September 1994 - September 1999
NASD February 1988 - September 1994
Skills
FINRA, Securities, Mutual Funds, Insurance, Fixed Annuities, Variable Annuities, Series 7, Investments, AML, KYC, Life Insurance, SEC, Retirement Planning, Series 63, Series 24, Trading, Risk Management, Fixed Income, Investment Advisory, OFAC, Management, Asset Management, Broker-Dealer, Investment Advisers Act, Training, Financial Services, Series 65, Securities Regulation, Uniform Combined State..., USA PATRIOT Act
Education
Dowling College 1978 — 1983
Bachelor of Science (B.S.), Business Administration and Management, General
Sowjanya Sunkara's NASD Experience May 2005 - July 2005
Job GIS Developer
Industry Computer Software
Experience
Preferred Employers Group September 2013 - May 2014
San Diego Gas & Electric June 2012 - August 2013
CRW Systems, Inc September 2011 - June 2012
San Diego Gas & Electric March 2010 - September 2011
Photoscience February 2007 - July 2009
Oklahoma State University January 2005 - December 2006
Oklahoma State University 2005 - 2006
NASD May 2005 - July 2005
Skills
ASP.NET, C#, JavaScript, ArcGIS, Python, ArcGIS Server, ArcIMS, VB.NET, FME, .NET, Oracle, ArcFM, Database Design, Microsoft SQL Server, Web Applications, ArcObjects, ESRI, GIS, Databases, SQL
Education
Oklahoma State University 2004 — 2006
Masters, Computer Science
University of Madras 2000 — 2004
Bachelors in Engineering, Computer Science
Preferred Employers Group September 2013 - May 2014
San Diego Gas & Electric June 2012 - August 2013
CRW Systems, Inc September 2011 - June 2012
San Diego Gas & Electric March 2010 - September 2011
Photoscience February 2007 - July 2009
Oklahoma State University January 2005 - December 2006
Oklahoma State University 2005 - 2006
NASD May 2005 - July 2005
Skills
ASP.NET, C#, JavaScript, ArcGIS, Python, ArcGIS Server, ArcIMS, VB.NET, FME, .NET, Oracle, ArcFM, Database Design, Microsoft SQL Server, Web Applications, ArcObjects, ESRI, GIS, Databases, SQL
Education
Oklahoma State University 2004 — 2006
Masters, Computer Science
University of Madras 2000 — 2004
Bachelors in Engineering, Computer Science
Stacy Sullivan's NASD Experience March 2004 - May 2006
Job Senior Control Room Analyst/Institutional Compliance Group at Stifel Financial Corp.
Industry Capital Markets
Experience
Stifel Financial Corp. September 2014 - Present
Janney Montgomery Scott January 2011 - September 2014
Global Capital Management, Inc. May 2006 - December 2010
NASD March 2004 - May 2006
Cambridge Associates January 2001 - December 2002
Education
James Madison University 1996 — 2000
Stifel Financial Corp. September 2014 - Present
Janney Montgomery Scott January 2011 - September 2014
Global Capital Management, Inc. May 2006 - December 2010
NASD March 2004 - May 2006
Cambridge Associates January 2001 - December 2002
Education
James Madison University 1996 — 2000
Dayasagar Lakka's NASD Experience 2005 - 2006
Job S/E at Centuria
Industry Information Technology and Services
Experience
Centuria SEFannie Mae2006 - 2007
NASD 2005 - 2006
Cover-All Technologies 1998 - 1999
Education
Jawaharlal Nehru Technological University 1989 — 1993
B.Tech, Electrical and Electronics
Vidyodaya High School 1979 — 1985
SSC, English, Science, Mathematics
Centuria SEFannie Mae2006 - 2007
NASD 2005 - 2006
Cover-All Technologies 1998 - 1999
Education
Jawaharlal Nehru Technological University 1989 — 1993
B.Tech, Electrical and Electronics
Vidyodaya High School 1979 — 1985
SSC, English, Science, Mathematics
Michael Tuohy's NASD Experience May 1999 - February 2002
Job Director at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments September 2009 - Present
PricewaterhouseCoopers December 2005 - September 2009
Wachovia February 2002 - November 2005
NASD May 1999 - February 2002
FINRA (formerly NASD) 1999 - 2002
Skills
AML, Securities
Education
Fairleigh Dickinson University 1981 — 1985
BS, Business
Xavier
Fidelity Investments September 2009 - Present
PricewaterhouseCoopers December 2005 - September 2009
Wachovia February 2002 - November 2005
NASD May 1999 - February 2002
FINRA (formerly NASD) 1999 - 2002
Skills
AML, Securities
Education
Fairleigh Dickinson University 1981 — 1985
BS, Business
Xavier
Paula (Cagnacci) Sherman's NASD Experience 1999 - 2001
Job Senior Special Counsel at US Securities and Exchange Commission
Industry Financial Services
Experience
US Securities and Exchange Commission June 2010 - Present
Georgetown University Law Center 2006 - Present
US Securities and Exchange Commission May 2004 - June 2010
US Securities and Exchange Commission April 2001 - May 2004
NASD 1999 - 2001
Education
Georgetown University Law Center 1999 — 2001
LLM, Securities
The Catholic University of America, Columbus School of Law 1996 — 1999
US Securities and Exchange Commission June 2010 - Present
Georgetown University Law Center 2006 - Present
US Securities and Exchange Commission May 2004 - June 2010
US Securities and Exchange Commission April 2001 - May 2004
NASD 1999 - 2001
Education
Georgetown University Law Center 1999 — 2001
LLM, Securities
The Catholic University of America, Columbus School of Law 1996 — 1999
Del Miller's NASD Experience August 1995 - January 1998
Job Contracts Manager at Stryker
Industry Legal Services
Experience
Stryker Neurovascular May 2014 - Present
Safeway October 2007 - April 2014
Abramson & Thaete LLP September 2006 - October 2007
Irwin Home Equity November 2004 - July 2006
Tyco Healthcare February 2001 - September 2004
Pacific Exchange November 1998 - December 2000
NASD August 1995 - January 1998
The Beverly Hilton Hotel 1993 - 1995
Holiday Inn 1991 - 1993
Skills
Legal Research, Corporate Governance, Real Estate, Management, Mediation, Time Management, Licensing, Budgets, PowerPoint, Marketing, Microsoft Office, CRM, Office Management, System Administration, Legal Assistance, Outlook, Dispute Resolution, Data Management
Education
California State University-Los Angeles 1993 — 1995
Certificate
Philippine Women's University 1987 — 1989
Masters
College of the Holy Spirit 1979 — 1983
Bachelor of Science in Commerce
Stryker Neurovascular May 2014 - Present
Safeway October 2007 - April 2014
Abramson & Thaete LLP September 2006 - October 2007
Irwin Home Equity November 2004 - July 2006
Tyco Healthcare February 2001 - September 2004
Pacific Exchange November 1998 - December 2000
NASD August 1995 - January 1998
The Beverly Hilton Hotel 1993 - 1995
Holiday Inn 1991 - 1993
Skills
Legal Research, Corporate Governance, Real Estate, Management, Mediation, Time Management, Licensing, Budgets, PowerPoint, Marketing, Microsoft Office, CRM, Office Management, System Administration, Legal Assistance, Outlook, Dispute Resolution, Data Management
Education
California State University-Los Angeles 1993 — 1995
Certificate
Philippine Women's University 1987 — 1989
Masters
College of the Holy Spirit 1979 — 1983
Bachelor of Science in Commerce
John Komoroske's NASD Experience 1988 - 2001
Job VP at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA), formerly NASD 2008 - 2014
City of Alexandria, Virginia 1991 - 2014
Financial Industry Regulatory Authority (FINRA) 2006 - 2008
National Association of Securities Dealers (NASD) 2001 - 2007
NASD 1988 - 2001
U.S. Securities and Exchange Commission 1985 - 1988
U.S. Securities and Exchange Commission 1982 - 1985
Office of Management & Budget, Executive Office of the President 1976 - 1982
US Attorney's Office, Eastern District of Virginia June 1981 - September 1981
Common Council, City of Bloomington IN 1975 - 1976
Skills
Securities Regulation, Legislative Relations, Public Speaking, Legislative Testimony, FINRA, Management, Securities, Budgets, Policy, Analysis, Investment Advisers Act, Investment Company Act
Education
Indiana University Bloomington 1972 — 1975
Master of Public Administration (M.P.A.), School of Public and Environmental Affairs
Indiana University Bloomington 1971 — 1974
Doctor of Law (JD), cum laude, School of Law
Union College 1967 — 1971
Bachelor of Arts (B.A.), cum laude, Political Science and Chinese
Financial Industry Regulatory Authority (FINRA), formerly NASD 2008 - 2014
City of Alexandria, Virginia 1991 - 2014
Financial Industry Regulatory Authority (FINRA) 2006 - 2008
National Association of Securities Dealers (NASD) 2001 - 2007
NASD 1988 - 2001
U.S. Securities and Exchange Commission 1985 - 1988
U.S. Securities and Exchange Commission 1982 - 1985
Office of Management & Budget, Executive Office of the President 1976 - 1982
US Attorney's Office, Eastern District of Virginia June 1981 - September 1981
Common Council, City of Bloomington IN 1975 - 1976
Skills
Securities Regulation, Legislative Relations, Public Speaking, Legislative Testimony, FINRA, Management, Securities, Budgets, Policy, Analysis, Investment Advisers Act, Investment Company Act
Education
Indiana University Bloomington 1972 — 1975
Master of Public Administration (M.P.A.), School of Public and Environmental Affairs
Indiana University Bloomington 1971 — 1974
Doctor of Law (JD), cum laude, School of Law
Union College 1967 — 1971
Bachelor of Arts (B.A.), cum laude, Political Science and Chinese
Steve Aaron's NASD Experience 1987 - 1993
Job Managing Director, Chief Compliance Officer at Wells Fargo Securities
Industry Investment Banking
Experience
Wells Fargo Securities August 1993 - Present
JP Morgan February 2001 - June 2003
Hambrecht & Quist LLC August 1993 - June 2003
NASD 1987 - 1993
Education
Concord Law School - Kaplan University 2005 — 2010
JD, Law
University of San Francisco 1987 — 1989
MBA, Business
University of Oregon 1980 — 1984
Wells Fargo Securities August 1993 - Present
JP Morgan February 2001 - June 2003
Hambrecht & Quist LLC August 1993 - June 2003
NASD 1987 - 1993
Education
Concord Law School - Kaplan University 2005 — 2010
JD, Law
University of San Francisco 1987 — 1989
MBA, Business
University of Oregon 1980 — 1984
Scott Shellhamer's NASD Experience January 1997 - February 2000
Job Managing Director at Warren Financial
Industry Investment Management
Experience
Warren Financial March 2012 - Present
Lockwood Capital Management February 2008 - March 2012
Geewax Terker and Company September 2000 - July 2007
NASD January 1997 - February 2000
Pilgrim Baxter & Associates March 1993 - June 1999
The Travelers Investment Management Company July 1991 - November 1992
Trinity Investment Management Corp. September 1987 - July 1991
Skills
Series 7, Portfolio Management, Equities, Equity Trading, Asset Managment, Manage Client..., Risk Management, Risk Analysis, Wealth Management, Investment Management, Alternative Investments
Education
Penn State University 1985 — 1988
Bachelor of Science, Finance with a Minor in Economics
Warren Financial March 2012 - Present
Lockwood Capital Management February 2008 - March 2012
Geewax Terker and Company September 2000 - July 2007
NASD January 1997 - February 2000
Pilgrim Baxter & Associates March 1993 - June 1999
The Travelers Investment Management Company July 1991 - November 1992
Trinity Investment Management Corp. September 1987 - July 1991
Skills
Series 7, Portfolio Management, Equities, Equity Trading, Asset Managment, Manage Client..., Risk Management, Risk Analysis, Wealth Management, Investment Management, Alternative Investments
Education
Penn State University 1985 — 1988
Bachelor of Science, Finance with a Minor in Economics
Matt Arnett's NASD Experience January 2000 - July 2003
Job Director, Compliance at Charles Schwab Investment Management
Industry Investment Management
Experience
Charles Schwab December 2013 - Present
Madison Street Partners September 2006 - December 2013
WM Funds Distributor, Inc. December 2004 - July 2006
NASD January 2000 - July 2003
NASD Regulation, Inc. June 1998 - December 1999
Skills
FINRA, Securities Regulation, AML, Securities, Investment Advisers Act, SEC, Broker-Dealer, Financial Regulation, Hedge Funds, Investment Advisory, Mutual Funds, Corporate Governance, Alternative Investments, Investment Company Act, Investment Management
Education
Loyola Law School, Loyola Marymount University 1994 — 1997
Doctor of Law (J.D.)
University of California, Los Angeles 1989 — 1994
B.A., Political Science
Charles Schwab December 2013 - Present
Madison Street Partners September 2006 - December 2013
WM Funds Distributor, Inc. December 2004 - July 2006
NASD January 2000 - July 2003
NASD Regulation, Inc. June 1998 - December 1999
Skills
FINRA, Securities Regulation, AML, Securities, Investment Advisers Act, SEC, Broker-Dealer, Financial Regulation, Hedge Funds, Investment Advisory, Mutual Funds, Corporate Governance, Alternative Investments, Investment Company Act, Investment Management
Education
Loyola Law School, Loyola Marymount University 1994 — 1997
Doctor of Law (J.D.)
University of California, Los Angeles 1989 — 1994
B.A., Political Science
Jacquelyn Sando's NASD Experience July 2003 - September 2004
Job Financial Services Professional
Industry Financial Services
Experience
Imperial Finance & Trading July 2009 - December 2009
US Installation Group October 2008 - July 2009
Peachtree Settlement Funding September 2004 - May 2008
NASD July 2003 - September 2004
Boca Raton Resort & Club September 2002 - April 2003
Skills
Credit, Due Diligence, Financial Services, Internal Audit, Management, Policy, Underwriting
Education
Villanova University 1981 — 1985
BA
Florida Atlantic University
Certificate
Florida Atlantic University
Certificate
Imperial Finance & Trading July 2009 - December 2009
US Installation Group October 2008 - July 2009
Peachtree Settlement Funding September 2004 - May 2008
NASD July 2003 - September 2004
Boca Raton Resort & Club September 2002 - April 2003
Skills
Credit, Due Diligence, Financial Services, Internal Audit, Management, Policy, Underwriting
Education
Villanova University 1981 — 1985
BA
Florida Atlantic University
Certificate
Florida Atlantic University
Certificate
Elisa Hirschmann's NASD Experience January 2005 - March 2006
Job Compliance Officer at ICAP
Industry Financial Services
Experience
ICAP July 2010 - Present
Standard & Poor's May 2009 - July 2010
Merrill Lynch March 2006 - April 2009
NASD January 2005 - March 2006
Education
Boston College - Wallace E. Carroll Graduate School of Management 2001 — 2004
BS, Marketing
ICAP July 2010 - Present
Standard & Poor's May 2009 - July 2010
Merrill Lynch March 2006 - April 2009
NASD January 2005 - March 2006
Education
Boston College - Wallace E. Carroll Graduate School of Management 2001 — 2004
BS, Marketing
Kristy McCrea's NASD Experience July 1998 - September 2004
Job Paralegal at Siragusa Law Firm, LLC
Industry Financial Services
Experience
Siragusa Law Firm, LLC March 2013 - Present
NASD July 1998 - September 2004
Skills
AML, Securities, Risk Management, FINRA, Securities Regulation, Capital Markets, Equities
Education
Fairleigh Dickinson University 1994 — 1995
Certification, Paralegal
Lycoming College 1989 — 1993
BA, Criminal Justice, Political Science - Legal Studies
Siragusa Law Firm, LLC March 2013 - Present
NASD July 1998 - September 2004
Skills
AML, Securities, Risk Management, FINRA, Securities Regulation, Capital Markets, Equities
Education
Fairleigh Dickinson University 1994 — 1995
Certification, Paralegal
Lycoming College 1989 — 1993
BA, Criminal Justice, Political Science - Legal Studies
Ven Sherrod's NASD Experience September 2003 - November 2005
Job Owner, Ven Sherrod Photography
Industry Photography
Experience
Ven Sherrod Photography November 2002 - Present
NASD September 2003 - November 2005
nasd 2003 - 2005
Skills
AML, Access, Accounting, Advertising, Blogging, Budgets, Business Strategy, Customer Service, Due Diligence, Entrepreneurship, Event Planning, Headshots, Management, Marketing, Photography, Process Improvement, Social Media, Social Media Marketing, Social Networking, Strategic Planning, Team Leadership, Videography, Wedding Photography, Weddings
Education
Quincy University 1995 — 1998
BS-Finance, Finance and Accounting
Ven Sherrod Photography November 2002 - Present
NASD September 2003 - November 2005
nasd 2003 - 2005
Skills
AML, Access, Accounting, Advertising, Blogging, Budgets, Business Strategy, Customer Service, Due Diligence, Entrepreneurship, Event Planning, Headshots, Management, Marketing, Photography, Process Improvement, Social Media, Social Media Marketing, Social Networking, Strategic Planning, Team Leadership, Videography, Wedding Photography, Weddings
Education
Quincy University 1995 — 1998
BS-Finance, Finance and Accounting
Helen Mangano's NASD Experience 1987 - 1991
Job Helen Mangano, Esq.
Industry Law Practice
Experience
Helen Mangano, Esq. February 1991 - Present
NASD 1987 - 1991
Skills
Litigation, Securities, Commercial Litigation, Tax, Arbitration, Appeals, Private Equity, Legal Research, International Tax, Intellectual Property, Civil Litigation, Securities Regulation, Due Diligence, Securities Litigation, Tax Accounting, Legal Writing, Estate Planning, Employment Law, Hedge Funds, Dispute, Risk Management, FINRA, Corporate Governance, Mergers & Acquisitions, Legal Advice, Private Investigations, Tax Law, Trusts, Mediation, White Collar Criminal..., Bankruptcy, Fraud, Contract Negotiation, Westlaw, International Law, Legal Compliance, Corporate Law, Finance, Joint Ventures, Cross-border..., Asset Management, Class Actions, Dispute Resolution
Education
New York Law School 2008 — 2010
JD/LLM, Finance and Tax
Hunter College
Accounting
Helen Mangano, Esq. February 1991 - Present
NASD 1987 - 1991
Skills
Litigation, Securities, Commercial Litigation, Tax, Arbitration, Appeals, Private Equity, Legal Research, International Tax, Intellectual Property, Civil Litigation, Securities Regulation, Due Diligence, Securities Litigation, Tax Accounting, Legal Writing, Estate Planning, Employment Law, Hedge Funds, Dispute, Risk Management, FINRA, Corporate Governance, Mergers & Acquisitions, Legal Advice, Private Investigations, Tax Law, Trusts, Mediation, White Collar Criminal..., Bankruptcy, Fraud, Contract Negotiation, Westlaw, International Law, Legal Compliance, Corporate Law, Finance, Joint Ventures, Cross-border..., Asset Management, Class Actions, Dispute Resolution
Education
New York Law School 2008 — 2010
JD/LLM, Finance and Tax
Hunter College
Accounting
Srinivas Bangarbale's NASD Experience 1995 - 1998
Job Chief Data Officer at Commodity Futures Trading Commission
Industry Information Technology and Services
Experience
Commodity Futures Trading Commission October 2011 - Present
US Securities and Exchange Commission 2011 - October 2011
US Securities and Exchange Commission 2007 - 2010
US Securities and Exchange Commission 2004 - 2006
NARA 2003 - 2004
Lockheed Martin Information Technology 2001 - 2003
Corio 1999 - 2001
PwC Consulting 1998 - 1999
NASD 1995 - 1998
Skills
IT Strategy, Software Development, Enterprise Architecture
Education
Columbia University - Columbia Business School 2004 — 2006
MBA, Management, Finance
Villanova University 1991 — 1993
MS, Computer Science
Bangalore University Visvesvaraya College of Engineering 1982 — 1987
BE, Mechanical Engineering
National College
University of Pennsylvania - The Wharton School
Commodity Futures Trading Commission October 2011 - Present
US Securities and Exchange Commission 2011 - October 2011
US Securities and Exchange Commission 2007 - 2010
US Securities and Exchange Commission 2004 - 2006
NARA 2003 - 2004
Lockheed Martin Information Technology 2001 - 2003
Corio 1999 - 2001
PwC Consulting 1998 - 1999
NASD 1995 - 1998
Skills
IT Strategy, Software Development, Enterprise Architecture
Education
Columbia University - Columbia Business School 2004 — 2006
MBA, Management, Finance
Villanova University 1991 — 1993
MS, Computer Science
Bangalore University Visvesvaraya College of Engineering 1982 — 1987
BE, Mechanical Engineering
National College
University of Pennsylvania - The Wharton School
Dale McMillen PMP/CSM's NASD Experience 1990 - 1999
Job Project Manager Technical Leader at Freddie Mac
Industry Information Technology and Services
Experience
Freddie Mac July 2014 - Present
Montgomery Business Consulting Associates December 2012 - July 2014
Freddie Mac April 2013 - July 2014
Financial Industry Regulatory Authority January 2013 - April 2013
HP 2008 - 2012
EDS 1999 - June 2008
NASD 1990 - 1999
American Digital Systems 1989 - 1990
Unisys 1987 - 1989
US Navy Reserve 1984 - 1989
Skills
Project Management, Software Development, SDLC, PMP, PMO, CMMI, Program Management, Software Project..., IT Strategy, Requirements Analysis, Release Management, Vendor Management, Agile Methodologies, SharePoint, ITIL, Business Intelligence, Requirements Gathering, Management
Education
George Mason University 1987 — 1989
MBA / MSIS
Lynchburg College 1978 — 1982
Bachelor of Arts (B.A.)
Freddie Mac July 2014 - Present
Montgomery Business Consulting Associates December 2012 - July 2014
Freddie Mac April 2013 - July 2014
Financial Industry Regulatory Authority January 2013 - April 2013
HP 2008 - 2012
EDS 1999 - June 2008
NASD 1990 - 1999
American Digital Systems 1989 - 1990
Unisys 1987 - 1989
US Navy Reserve 1984 - 1989
Skills
Project Management, Software Development, SDLC, PMP, PMO, CMMI, Program Management, Software Project..., IT Strategy, Requirements Analysis, Release Management, Vendor Management, Agile Methodologies, SharePoint, ITIL, Business Intelligence, Requirements Gathering, Management
Education
George Mason University 1987 — 1989
MBA / MSIS
Lynchburg College 1978 — 1982
Bachelor of Arts (B.A.)
Michael Rovito's NASD Experience 1999 - 2000
Job Director at Citi Private Bank, CFP®
Industry Banking
Experience
Citi Private Bank January 2011 - Present
Bank of Nova Scotia 2000 - 2002
NASD 1999 - 2000
Credit Suisse First Boston 1996 - 1999
NatWest 1993 - 1996
Skills
Banking, Portfolio Management, Wealth Management, Alternative Investments, Equities, Asset Management, Capital Markets, Credit, Financial Advisory, Financial Analysis, Fixed Income, Investments, Private Banking, Risk Management, Securities, Series 7, Financial Services
Education
Pace University - Lubin School of Business 1996 — 1999
MBA, Finance
Baruch College, City University of New York (CUNY) 1988 — 1993
BBA, Finance
Citi Private Bank January 2011 - Present
Bank of Nova Scotia 2000 - 2002
NASD 1999 - 2000
Credit Suisse First Boston 1996 - 1999
NatWest 1993 - 1996
Skills
Banking, Portfolio Management, Wealth Management, Alternative Investments, Equities, Asset Management, Capital Markets, Credit, Financial Advisory, Financial Analysis, Fixed Income, Investments, Private Banking, Risk Management, Securities, Series 7, Financial Services
Education
Pace University - Lubin School of Business 1996 — 1999
MBA, Finance
Baruch College, City University of New York (CUNY) 1988 — 1993
BBA, Finance
Jerry Timmons's NASD Experience 1981 - 1983
Job Chief Compliance Officer Swap Dealer at KeyBank
Industry Financial Services
Experience
KeyBank November 2013 - Present
KeyBanc Capital Markets September 2008 - Present
BNP Paribas 2006 - 2008
Jefferies & Company 2004 - 2006
Banc of America Securities 1999 - 2003
Merrill Lynch 1995 - 2000
NYSE 1992 - 1995
Kemper Clearing Corp. 1988 - 1992
NYSE 1983 - 1988
NASD 1981 - 1983
Skills
Fixed Income, Securities, Capital Markets, Series 7, FINRA, Derivatives, Series 63, Series 24, Investment Banking
Education
Fordham University 1981 — 1984
MBA, Finance
St. Francis College 1975 — 1980
BS, Management
St. Francis Prep 1970 — 1974
KeyBank November 2013 - Present
KeyBanc Capital Markets September 2008 - Present
BNP Paribas 2006 - 2008
Jefferies & Company 2004 - 2006
Banc of America Securities 1999 - 2003
Merrill Lynch 1995 - 2000
NYSE 1992 - 1995
Kemper Clearing Corp. 1988 - 1992
NYSE 1983 - 1988
NASD 1981 - 1983
Skills
Fixed Income, Securities, Capital Markets, Series 7, FINRA, Derivatives, Series 63, Series 24, Investment Banking
Education
Fordham University 1981 — 1984
MBA, Finance
St. Francis College 1975 — 1980
BS, Management
St. Francis Prep 1970 — 1974
Keren Salem's NASD Experience November 2002 - March 2006
Job at Bank of América Merrill Lynch
Industry Financial Services
Experience
Bank of América Merrill Lynch July 2011 - Present
Royal Bank of Scotland June 2010 - July 2011
Merrill Lynch March 2006 - July 2010
NASD November 2002 - March 2006
National Futures Association January 1999 - November 2002
NFA 1999 - 2002
Education
Baruch College, City University of New York (CUNY) 1996 — 1999
BBA, Accountancy
Bank of América Merrill Lynch July 2011 - Present
Royal Bank of Scotland June 2010 - July 2011
Merrill Lynch March 2006 - July 2010
NASD November 2002 - March 2006
National Futures Association January 1999 - November 2002
NFA 1999 - 2002
Education
Baruch College, City University of New York (CUNY) 1996 — 1999
BBA, Accountancy
Valerie Singleton's NASD Experience June 1997 - February 2001
Job Bakery Clerk at Wegmans Food Markets
Industry Accounting
Experience
Wegmans Food Markets June 2013 - Present
Montgomery County April 2009 - February 2010
NASDAQ March 2001 - November 2008
NASD June 1997 - February 2001
Marriott International April 1990 - June 1998
Marriott Corporation June 1987 - April 1990
Skills
PeopleSoft, Microsoft Office, ADP Payroll, Recruiting, Payroll, Financial Accounting, Benefits Administration, Human Resources, Accounting, Finance, Payroll Taxes, Tax, Auditing, Accounts Payable, Management, Customer Service, Process Improvement
Education
Montgomery College 1975 — 1979
Associates, Recreation
St. Mary's College of Maryland 1975 — 1978
wheaton 1972 — 1975
Wegmans Food Markets June 2013 - Present
Montgomery County April 2009 - February 2010
NASDAQ March 2001 - November 2008
NASD June 1997 - February 2001
Marriott International April 1990 - June 1998
Marriott Corporation June 1987 - April 1990
Skills
PeopleSoft, Microsoft Office, ADP Payroll, Recruiting, Payroll, Financial Accounting, Benefits Administration, Human Resources, Accounting, Finance, Payroll Taxes, Tax, Auditing, Accounts Payable, Management, Customer Service, Process Improvement
Education
Montgomery College 1975 — 1979
Associates, Recreation
St. Mary's College of Maryland 1975 — 1978
wheaton 1972 — 1975
Harold Leung's NASD Experience June 2004 - May 2007
Job Treasurer at Texas Association of Vietnam Veterans Austin Chapter
Industry Financial Services
Experience
Texas Association of Vietnam Veterans Austin Chapter December 2010 - Present
Vietnam Veterans of America Chapter 915 Austin, TX April 2009 - Present
American Legion Elmhurst-Jackson Heights Post 298 November 1999 - June 2007
Queens Veterans Foundation Inc. April 1995 - June 2007
NASD June 2004 - May 2007
American Stock Exchange April 1978 - June 2004
Vietnam Veterans of America Chapter #32 Queens, NY Inc. April 1994 - April 1998
NASD September 1976 - March 1978
US Army July 1968 - May 1970
Skills
Risk Management, Broker-Dealer, Capital Markets, Financial Modeling, Portfolio Management, Financial Regulation, Equities, Bloomberg, Finance, Trading, Financial Markets, Investments, Series 7, Financial Analysis, Hedge Funds, Derivatives, Securities, Options, Fixed Income
Education
Queen's College 1965 — 1976
BA, Accounting and Information Systems
Texas Association of Vietnam Veterans Austin Chapter December 2010 - Present
Vietnam Veterans of America Chapter 915 Austin, TX April 2009 - Present
American Legion Elmhurst-Jackson Heights Post 298 November 1999 - June 2007
Queens Veterans Foundation Inc. April 1995 - June 2007
NASD June 2004 - May 2007
American Stock Exchange April 1978 - June 2004
Vietnam Veterans of America Chapter #32 Queens, NY Inc. April 1994 - April 1998
NASD September 1976 - March 1978
US Army July 1968 - May 1970
Skills
Risk Management, Broker-Dealer, Capital Markets, Financial Modeling, Portfolio Management, Financial Regulation, Equities, Bloomberg, Finance, Trading, Financial Markets, Investments, Series 7, Financial Analysis, Hedge Funds, Derivatives, Securities, Options, Fixed Income
Education
Queen's College 1965 — 1976
BA, Accounting and Information Systems
Richard Dupuis's NASD Experience 1973 - 1975
Job Senior Advisor at Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch January 2005 - Present
Dublind Partners 2000 - 2004
UBS 1997 - 2000
Dillon Read Capital Management 1984 - 1997
Drexel Burnham Lambert 1980 - 1984
Bear Stearns 1977 - 1980
Smith Barney 1975 - 1977
NASD 1973 - 1975
Education
Bryant University 1969 — 1973
BS, Management, Business Management
Merrill Lynch January 2005 - Present
Dublind Partners 2000 - 2004
UBS 1997 - 2000
Dillon Read Capital Management 1984 - 1997
Drexel Burnham Lambert 1980 - 1984
Bear Stearns 1977 - 1980
Smith Barney 1975 - 1977
NASD 1973 - 1975
Education
Bryant University 1969 — 1973
BS, Management, Business Management
Eleanor Forbes's NASD Experience February 2000 - August 2005
Job AVP, Audit Supervisor at TD
Industry Financial Services
Experience
TD Bank August 2010 - Present
UBS Wealth Management June 2007 - December 2008
ComplianceQuest Partners LLC November 2005 - June 2007
NASD February 2000 - August 2005
Citicorp Investment Services June 1998 - February 2000
Merrill Lynch 1991 - 1998
Skills
AML, FINRA, Securities, Auditing, Financial Services, Risk Management
Education
George Mason University
BA, History
TD Bank August 2010 - Present
UBS Wealth Management June 2007 - December 2008
ComplianceQuest Partners LLC November 2005 - June 2007
NASD February 2000 - August 2005
Citicorp Investment Services June 1998 - February 2000
Merrill Lynch 1991 - 1998
Skills
AML, FINRA, Securities, Auditing, Financial Services, Risk Management
Education
George Mason University
BA, History
Jim Bronson's NASD Experience 1981 - 1999
Job Senior System Analyst at FINRA
Industry Computer Software
Experience
Financial Industry Regulatory Authority June 2014 - Present
Owen Software Development Corporation June 2013 - June 2014
NASDAQ OMX February 1999 - January 2013
nasd 1981 - 1999
Skills
Software Engineering, C#, ASP.NET, SDLC, JavaScript, Requirements Analysis, Object Oriented Design, Relational Databases, Data Modeling, C++, Scrum
Education
American University 1974 — 1978
Bachelor of Arts (BA), Political Science, Economics
Financial Industry Regulatory Authority June 2014 - Present
Owen Software Development Corporation June 2013 - June 2014
NASDAQ OMX February 1999 - January 2013
nasd 1981 - 1999
Skills
Software Engineering, C#, ASP.NET, SDLC, JavaScript, Requirements Analysis, Object Oriented Design, Relational Databases, Data Modeling, C++, Scrum
Education
American University 1974 — 1978
Bachelor of Arts (BA), Political Science, Economics
Eamon Shanahan's NASD Experience July 1996 - March 2001
Job Director at Citigroup
Industry Financial Services
Experience
Citigroup August 2005 - Present
Morgan Stanley March 2001 - July 2005
NASD July 1996 - March 2001
Education
New York Law School 2000 — 2004
Juris Doctor
State University of New York College at Oswego
BS, Business Administration
Citigroup August 2005 - Present
Morgan Stanley March 2001 - July 2005
NASD July 1996 - March 2001
Education
New York Law School 2000 — 2004
Juris Doctor
State University of New York College at Oswego
BS, Business Administration
Ralph Heil's NASD Experience 1985 - 2003
Job Branch Chief at SEC
Industry Government Administration
Experience
US Securities and Exchange Commission October 2003 - Present
FINRA September 1985 - October 2003
FINRA (Formerly NASD) 1985 - 2003
NASD 1985 - 2003
Education
Penn State University 1981 — 1985
BS, Finance
US Securities and Exchange Commission October 2003 - Present
FINRA September 1985 - October 2003
FINRA (Formerly NASD) 1985 - 2003
NASD 1985 - 2003
Education
Penn State University 1981 — 1985
BS, Finance
Diane Golbeck's NASD Experience 1985 - 2000
Job Owner, Diane K. Golbeck, PLLC
Industry Law Practice
Experience
Diane K. Golbeck, PLLC September 2008 - Present
Golbeck Roth, PLLC 2002 - 2008
NASD 1985 - 2000
Skills
Securities Regulation, Securities, Due Diligence, Arbitration, FINRA, Investments, Mutual Funds, Public Speaking, Equities, Risk Management
Education
Case Western Reserve University School of Law 1979 — 1982
Doctor of Law (JD)
Boston College 1975 — 1979
Bachelor of Arts (BA), American History (United States)
Diane K. Golbeck, PLLC September 2008 - Present
Golbeck Roth, PLLC 2002 - 2008
NASD 1985 - 2000
Skills
Securities Regulation, Securities, Due Diligence, Arbitration, FINRA, Investments, Mutual Funds, Public Speaking, Equities, Risk Management
Education
Case Western Reserve University School of Law 1979 — 1982
Doctor of Law (JD)
Boston College 1975 — 1979
Bachelor of Arts (BA), American History (United States)
mark grewe's NASD Experience December 1984 - May 1993
Job CCO at DriveWealth
Industry Capital Markets
Experience
DriveWealth June 2015 - Present
Compliance consulting and outsourcing August 2014 - June 2015
Rabobank International May 2012 - May 2013
Lazard Capital Markets September 2009 - April 2013
Ark Asset Management November 2007 - May 2009
Prudential Equity Group June 2002 - November 2007
National Discount Brokers May 2000 - May 2002
Schroder & Co. Inc June 1994 - May 2000
NASD December 1984 - May 1993
Skills
Hedge Funds, Alternative Investments, Securities, Fixed Income, Asset Managment, Mutual Funds, Trading, Investments, Bloomberg, Portfolio Management, Capital Markets, Asset Allocation, Valuation, Investment Advisers Act, Asset Management, Private Equity, Electronic Trading
Education
New York Law School 1991 — 1994
Doctor of Law (J.D.)
Hamilton College 1977 — 1981
AB, Economics
DriveWealth June 2015 - Present
Compliance consulting and outsourcing August 2014 - June 2015
Rabobank International May 2012 - May 2013
Lazard Capital Markets September 2009 - April 2013
Ark Asset Management November 2007 - May 2009
Prudential Equity Group June 2002 - November 2007
National Discount Brokers May 2000 - May 2002
Schroder & Co. Inc June 1994 - May 2000
NASD December 1984 - May 1993
Skills
Hedge Funds, Alternative Investments, Securities, Fixed Income, Asset Managment, Mutual Funds, Trading, Investments, Bloomberg, Portfolio Management, Capital Markets, Asset Allocation, Valuation, Investment Advisers Act, Asset Management, Private Equity, Electronic Trading
Education
New York Law School 1991 — 1994
Doctor of Law (J.D.)
Hamilton College 1977 — 1981
AB, Economics
Roy Jay Thibodaux's NASD Experience September 2004 - May 2005
Job Associate at Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross, LLP
Industry Law Practice
Experience
Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross, LLP June 2009 - Present
Day Pitney LLP April 2008 - May 2009
Coughlin Duffy LLP September 2006 - April 2008
Superior Court of New Jersey September 2005 - August 2006
NASD September 2004 - May 2005
Entergy 1999 - 2002
Skills
Legal Writing, Appeals, Commercial Litigation, Litigation, Civil Litigation, Courts
Education
Seton Hall University School of Law 2002 — 2005
J.D.
University of New Orleans 1999 — 2001
M.B.A., Finance
Louisiana State University 1995 — 1999
B.S., Accounting
Jesuit High School 1991 — 1995
High School
Kehoe France
Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross, LLP June 2009 - Present
Day Pitney LLP April 2008 - May 2009
Coughlin Duffy LLP September 2006 - April 2008
Superior Court of New Jersey September 2005 - August 2006
NASD September 2004 - May 2005
Entergy 1999 - 2002
Skills
Legal Writing, Appeals, Commercial Litigation, Litigation, Civil Litigation, Courts
Education
Seton Hall University School of Law 2002 — 2005
J.D.
University of New Orleans 1999 — 2001
M.B.A., Finance
Louisiana State University 1995 — 1999
B.S., Accounting
Jesuit High School 1991 — 1995
High School
Kehoe France
Evrim Fulmer's NASD Experience May 2004 - August 2004
Job Community Trustee
Industry Nonprofit Organization Management
Experience
Stark County January 2012 - Present
LexisNexis September 2010 - December 2011
FSI Group June 2006 - September 2010
Colby College Mathematics Department September 2003 - May 2006
Colby College Information Technology Services September 2002 - May 2006
NASD May 2004 - August 2004
Golden Pond Wealth Management 2004 - 2004
Skills
Accounting, Economics, Corporate Finance, Financial Analysis, Financial Modeling, Investment Finance, Fundraising, Hyperion Enterprise, Forecasting, Investments, Hyperion HFM, Essbase, Hyperion Planning, Mergers & Acquisitions, Finance, Valuation
Education
Colby College 2002 — 2006
B.A., Economics, Mathematics
Red Cross Nordic United World College 2000 — 2002
International Baccalaureate Diploma, Economics, Mathematics, English, Spanish
University of Rhode Island 2001 — 2001
Institute for International Sport, World Scholar Athlete Games Participant
Stark County January 2012 - Present
LexisNexis September 2010 - December 2011
FSI Group June 2006 - September 2010
Colby College Mathematics Department September 2003 - May 2006
Colby College Information Technology Services September 2002 - May 2006
NASD May 2004 - August 2004
Golden Pond Wealth Management 2004 - 2004
Skills
Accounting, Economics, Corporate Finance, Financial Analysis, Financial Modeling, Investment Finance, Fundraising, Hyperion Enterprise, Forecasting, Investments, Hyperion HFM, Essbase, Hyperion Planning, Mergers & Acquisitions, Finance, Valuation
Education
Colby College 2002 — 2006
B.A., Economics, Mathematics
Red Cross Nordic United World College 2000 — 2002
International Baccalaureate Diploma, Economics, Mathematics, English, Spanish
University of Rhode Island 2001 — 2001
Institute for International Sport, World Scholar Athlete Games Participant
John Karper's NASD Experience 1999 - Present
Job Business Technology Manager at NASD
Industry Financial Services
Experience
FINRA 1991 - Present
NASD 1999 - Present
Boy Scouts of America, Baltimore Area Council 2009 - Present
BancTec 1987 - 1993
Skills
PMO, SDLC, IT Strategy, Disaster Recovery, Enterprise Architecture, Vendor Management, Integration, Business Analysis, Software Project..., Program Management, ITIL, Business Process, Change Management, Requirements Analysis, Project Management, Analysis, Telecommunications, Visio, SQL, Process Improvement, Project Portfolio..., Oracle, Microsoft SQL Server, Database Design, Report Writing, Impromptu, VBA, VBScript, Crystal Reports, Aspect, Telecommunications..., Agile Methodologies, SharePoint, IT Management, PMP, Software Development, Governance, Business Intelligence, Data Warehousing, Data Center, Security, SOA, Solution Architecture, Cloud Computing, IT Operations, Software Documentation, Testing, Business Process..., System Deployment, Databases
Education
Cardinal Gibbons 1977 — 1981
Catonsville Community College
FINRA 1991 - Present
NASD 1999 - Present
Boy Scouts of America, Baltimore Area Council 2009 - Present
BancTec 1987 - 1993
Skills
PMO, SDLC, IT Strategy, Disaster Recovery, Enterprise Architecture, Vendor Management, Integration, Business Analysis, Software Project..., Program Management, ITIL, Business Process, Change Management, Requirements Analysis, Project Management, Analysis, Telecommunications, Visio, SQL, Process Improvement, Project Portfolio..., Oracle, Microsoft SQL Server, Database Design, Report Writing, Impromptu, VBA, VBScript, Crystal Reports, Aspect, Telecommunications..., Agile Methodologies, SharePoint, IT Management, PMP, Software Development, Governance, Business Intelligence, Data Warehousing, Data Center, Security, SOA, Solution Architecture, Cloud Computing, IT Operations, Software Documentation, Testing, Business Process..., System Deployment, Databases
Education
Cardinal Gibbons 1977 — 1981
Catonsville Community College
Elizabeth Kraenbring's NASD Experience September 2007 - Present
Job Business Analyst at FINRA
Industry Financial Services
Experience
NASD September 2007 - Present
FINRA 1998 - 2010
Skills
Enterprise Architecture, Product Management, SDLC, Business Process, IT Strategy, Leadership, Requirements Analysis, Business Analysis, Agile Methodologies, Testing, Management, Strategic Planning, Process Improvement, Vendor Management, Business Intelligence, Program Management, Project Management, Training, Requirements Gathering, Business Requirements, Integration, Software Project..., PMP, Business Process...
Education
Boston University 2012 — 2014
Project Management
Montgomery College 2001 — 2004
Business Administration
NASD September 2007 - Present
FINRA 1998 - 2010
Skills
Enterprise Architecture, Product Management, SDLC, Business Process, IT Strategy, Leadership, Requirements Analysis, Business Analysis, Agile Methodologies, Testing, Management, Strategic Planning, Process Improvement, Vendor Management, Business Intelligence, Program Management, Project Management, Training, Requirements Gathering, Business Requirements, Integration, Software Project..., PMP, Business Process...
Education
Boston University 2012 — 2014
Project Management
Montgomery College 2001 — 2004
Business Administration
Dede Dobkin's NASD Experience February 1989 - February 1997
Job Realtor at Howard Hanna Real Estate
Industry Real Estate
Experience
Howard Hanna RealtorHoward Hanna Real EstateDecember 2006 - Present
Howard Hanna Real Estate Services 2004 - Present
NASD February 1989 - February 1997
Education
La Roche College 1995 — 1997
International Business
Howard Hanna RealtorHoward Hanna Real EstateDecember 2006 - Present
Howard Hanna Real Estate Services 2004 - Present
NASD February 1989 - February 1997
Education
La Roche College 1995 — 1997
International Business
Greg Amoroso's NASD Experience 1987 - 2004
Job Securities Litigation Consultant at Sutherland Asbill & Brennan LLP
Industry Law Practice
Experience
Sutherland Asbill & Brennan LLP June 2004 - Present
NASD 1987 - 2004
Skills
Securities Regulation, Financial Services, Internal Investigations, Banking, Investment Advisory, Securities, Corporate Law, Litigation, Series 24, Alternative Investments, Legal Research, Litigation Management, Mutual Funds, Alternative Dispute..., FINRA, SEC filings, Hedge Funds, Corporate Governance, Due Diligence, Legal Advice, SEC, Investments, Corporate Finance, Legal Writing, Policy, Risk Management, Dispute Resolution, Trading, FCPA, Mergers & Acquisitions, Enforcement, Commercial Litigation, AML, Equities, Fraud, Licensing, Financial Regulation, Regulations, Derivatives, Capital Markets, Investment Management, Private Placements
Education
Clarion University of Pennsylvania
Bachelor of Science (B.S.)
Sutherland Asbill & Brennan LLP June 2004 - Present
NASD 1987 - 2004
Skills
Securities Regulation, Financial Services, Internal Investigations, Banking, Investment Advisory, Securities, Corporate Law, Litigation, Series 24, Alternative Investments, Legal Research, Litigation Management, Mutual Funds, Alternative Dispute..., FINRA, SEC filings, Hedge Funds, Corporate Governance, Due Diligence, Legal Advice, SEC, Investments, Corporate Finance, Legal Writing, Policy, Risk Management, Dispute Resolution, Trading, FCPA, Mergers & Acquisitions, Enforcement, Commercial Litigation, AML, Equities, Fraud, Licensing, Financial Regulation, Regulations, Derivatives, Capital Markets, Investment Management, Private Placements
Education
Clarion University of Pennsylvania
Bachelor of Science (B.S.)
Judy Turk's NASD Experience August 2006 - August 2012
Job Assistant Principal/Director of Special Education
Industry Education Management
Experience
Andover School District August 2012 - Present
NASD August 2006 - August 2012
NASD September 1993 - August 2006
Skills
Educational Leadership, K-12, Educational Technology, Curriculum Development, Classroom, Curriculum Design, Teaching, Tutoring, Student Affairs, Staff Development, Special Education, Differentiated..., ESL, Instructional Design, Elementary Education, Classroom Management
Education
Plymouth State University 2004 — 2007
CAGS, Educational Leadersip
Notre Dame College 1990 — 1993
Master, Learning/Language Disabilities, General Special Education
Holy Family University 1976 — 1990
BA, Elementary Education
BishopConwell 1972 — 1976
High School, Academic
Andover School District August 2012 - Present
NASD August 2006 - August 2012
NASD September 1993 - August 2006
Skills
Educational Leadership, K-12, Educational Technology, Curriculum Development, Classroom, Curriculum Design, Teaching, Tutoring, Student Affairs, Staff Development, Special Education, Differentiated..., ESL, Instructional Design, Elementary Education, Classroom Management
Education
Plymouth State University 2004 — 2007
CAGS, Educational Leadersip
Notre Dame College 1990 — 1993
Master, Learning/Language Disabilities, General Special Education
Holy Family University 1976 — 1990
BA, Elementary Education
BishopConwell 1972 — 1976
High School, Academic
Pei-Pei Mao's NASD Experience March 1989 - July 1996
Job Compliance Director at JPMorgan Chase
Industry Banking
Experience
JPMorgan Chase January 2001 - Present
Hambrecht & Quist LLC August 1996 - January 2001
NASD March 1989 - July 1996
Skills
FINRA, Risk Management, Securities, Financial Risk, Banking, AML, Capital Markets, Hedge Funds, Fixed Income, Financial Services, Equities
Education
Brandeis University
Bachelor of Arts (BA), Economics
The George Washington University
Master of Business Administration (MBA), International Business
JPMorgan Chase January 2001 - Present
Hambrecht & Quist LLC August 1996 - January 2001
NASD March 1989 - July 1996
Skills
FINRA, Risk Management, Securities, Financial Risk, Banking, AML, Capital Markets, Hedge Funds, Fixed Income, Financial Services, Equities
Education
Brandeis University
Bachelor of Arts (BA), Economics
The George Washington University
Master of Business Administration (MBA), International Business
Linda Pynappel's NASD Experience 1986 - 1989
Job Managing Director/Owner at J&L Securities Consultants
Industry Financial Services
Experience
J&L Securities Consultants June 1989 - Present
NASD 1986 - 1989
NASD 1981 - 1984
Education
Fairleigh Dickinson University 1979 — 1984
MBA, Finance
University of Evansville 1973 — 1977
BS, International Business
University of Evansville 1973 — 1977
J&L Securities Consultants June 1989 - Present
NASD 1986 - 1989
NASD 1981 - 1984
Education
Fairleigh Dickinson University 1979 — 1984
MBA, Finance
University of Evansville 1973 — 1977
BS, International Business
University of Evansville 1973 — 1977
May Dudding's NASD Experience September 1978 - June 2000
Job Massage Therapist at Riverside Massage
Industry Health, Wellness and Fitness
Experience
Riverside Massage September 2000 - Present
NASD September 1978 - June 2000
Skills
Reflexology, Bodywork, Swedish, Hot Stone, Chair Massage, Reiki, Wellness, Deep Tissue Massage, Lymphatic Drainage, Headaches, Healing, Back Pain, Therapeutic Massage, Stress, Relaxation, Therapists, Pain Management, Holistic Health, Shiatsu, Energy Healing, Craniosacral Therapy, Relaxation Therapy, Stress Management, Chronic Pain, Chronic Illness, Wellbeing, Prenatal Care
Education
ESU
Bachelor of Education (BEd), School Nursing
Lehigh University
Master of Education (MEd), Counselor Education/School Counseling and Guidance Services
Lehigh Valley Healing Arts Academy
Massage Therapy
St Luke's Hospital School of Nursing
Registered Nurse
Riverside Massage September 2000 - Present
NASD September 1978 - June 2000
Skills
Reflexology, Bodywork, Swedish, Hot Stone, Chair Massage, Reiki, Wellness, Deep Tissue Massage, Lymphatic Drainage, Headaches, Healing, Back Pain, Therapeutic Massage, Stress, Relaxation, Therapists, Pain Management, Holistic Health, Shiatsu, Energy Healing, Craniosacral Therapy, Relaxation Therapy, Stress Management, Chronic Pain, Chronic Illness, Wellbeing, Prenatal Care
Education
ESU
Bachelor of Education (BEd), School Nursing
Lehigh University
Master of Education (MEd), Counselor Education/School Counseling and Guidance Services
Lehigh Valley Healing Arts Academy
Massage Therapy
St Luke's Hospital School of Nursing
Registered Nurse
Lisa Mrozek's NASD Experience 1988 - 1990
Job Senior Compliance Officer at Western Asset Management
Industry Investment Management
Experience
Western Asset Management Company February 1999 - Present
Capital Research and Management Company November 1990 - February 1999
NASD 1988 - 1990
Education
Georgetown University 1987 — 1990
M.A., Liberal Studies
Vassar College 1981 — 1984
B.A., Psychology
Western Asset Management Company February 1999 - Present
Capital Research and Management Company November 1990 - February 1999
NASD 1988 - 1990
Education
Georgetown University 1987 — 1990
M.A., Liberal Studies
Vassar College 1981 — 1984
B.A., Psychology
Steven Semaya's NASD Experience 2002 - 2002
Job Owner, Strada 18, Boulevard 18
Industry Restaurants
Experience
Strada 18, Boulevard 18 2006 - Present
Manhattan Center for Early Learning 2002 - 2006
NASD 2002 - 2002
InnoVentry 2000 - 2002
CSC Index 1994 - 2000
Skills
Sales, Customer Service, Marketing Strategy, Business Development, Management, Strategy, Entrepreneurship, Strategic Planning, Social Media, Marketing, Start-ups, Small Business, Program Management, Social Media Marketing, Leadership, Business Strategy, New Business Development, Strategic Partnerships, Online Marketing
Education
Columbia Business School 1992 — 1994
Master of Business Administration (MBA), Business Administration and Management, General
Strada 18, Boulevard 18 2006 - Present
Manhattan Center for Early Learning 2002 - 2006
NASD 2002 - 2002
InnoVentry 2000 - 2002
CSC Index 1994 - 2000
Skills
Sales, Customer Service, Marketing Strategy, Business Development, Management, Strategy, Entrepreneurship, Strategic Planning, Social Media, Marketing, Start-ups, Small Business, Program Management, Social Media Marketing, Leadership, Business Strategy, New Business Development, Strategic Partnerships, Online Marketing
Education
Columbia Business School 1992 — 1994
Master of Business Administration (MBA), Business Administration and Management, General
Antonio Martins, CFA's NASD Experience March 2003 - March 2004
Job
Industry Investment Management
Experience
Capital One December 2013 - Present
Morgan Stanley Private Bank, NA August 2011 - December 2013
Legg Mason Investment Counsel August 2006 - July 2011
Legg Mason Wood Walker March 2004 - July 2005
NASD March 2003 - March 2004
Deutsche Bank Alex. Brown September 2000 - October 2002
Deutsche Bank Alex. Brown January 2000 - September 2000
Skills
Series 7, Alternative Investments, Asset Allocation, Asset Management, Bloomberg, Equities, Fixed Income, Investments, Portfolio Management, Securities, Trading, Wealth Management, Hedge Funds, Mutual Funds, Investment Management, Financial Analysis, Series 63
Education
Loyola College in Maryland 1996 — 2000
Bachelor of Business Administration, International Business
Centereach High School 1993 — 1996
Capital One December 2013 - Present
Morgan Stanley Private Bank, NA August 2011 - December 2013
Legg Mason Investment Counsel August 2006 - July 2011
Legg Mason Wood Walker March 2004 - July 2005
NASD March 2003 - March 2004
Deutsche Bank Alex. Brown September 2000 - October 2002
Deutsche Bank Alex. Brown January 2000 - September 2000
Skills
Series 7, Alternative Investments, Asset Allocation, Asset Management, Bloomberg, Equities, Fixed Income, Investments, Portfolio Management, Securities, Trading, Wealth Management, Hedge Funds, Mutual Funds, Investment Management, Financial Analysis, Series 63
Education
Loyola College in Maryland 1996 — 2000
Bachelor of Business Administration, International Business
Centereach High School 1993 — 1996
Rebecca Donnellan's NASD Experience 2002 - 2006
Job Lawyer
Industry Law Practice
Experience
NASD 2002 - 2006
Storch & Brenner, LLC 1994 - October 2002
U.S. Department of Justice 1978 - 1991
Fried Frank 1976 - 1977
Skills
Litigation, Corporate Governance, Commercial Litigation, Legal Writing, Legal Research, Securities Regulation, Trade Secrets, Arbitration, Civil Litigation, Appeals, Corporate Law, Intellectual Property, Mediation, International Law, Securities Litigation, Securities, Administrative Law, Fraud, Mergers & Acquisitions, Business Litigation
Education
Harvard Law School 1972 — 1975
Doctor of Law (J.D.), Law
MIT 1968 — 1972
S.B., Management
NASD 2002 - 2006
Storch & Brenner, LLC 1994 - October 2002
U.S. Department of Justice 1978 - 1991
Fried Frank 1976 - 1977
Skills
Litigation, Corporate Governance, Commercial Litigation, Legal Writing, Legal Research, Securities Regulation, Trade Secrets, Arbitration, Civil Litigation, Appeals, Corporate Law, Intellectual Property, Mediation, International Law, Securities Litigation, Securities, Administrative Law, Fraud, Mergers & Acquisitions, Business Litigation
Education
Harvard Law School 1972 — 1975
Doctor of Law (J.D.), Law
MIT 1968 — 1972
S.B., Management
Trudy Rodgers's NASD Experience September 1977 - Present
Job Certified School Nurse at Norristown Area School District
Industry Hospital & Health Care
Experience
NASD September 1977 - Present
Montgomery Hospital August 1974 - September 1977
Education
University of Phoenix 2006 — 2008
Master of Science in Nursing Education, Nursing Education
Marywood University 1977 — 1979
Master of Education (M.Ed.), Education
NASD September 1977 - Present
Montgomery Hospital August 1974 - September 1977
Education
University of Phoenix 2006 — 2008
Master of Science in Nursing Education, Nursing Education
Marywood University 1977 — 1979
Master of Education (M.Ed.), Education
Karen Redmon's NASD Experience January 2005 - Present
Job Assoc. Teacher at NASD
Industry Education Management
Experience
NASD January 2005 - Present
Skills
Curriculum Design, Curriculum Development, Teaching, Lesson Planning, Classroom, Tutoring, Classroom Management, Educational Leadership, Elementary Education, Educational Technology, Special Education, Higher Education
Education
Northampton Community College 1999 — 2004
Associate’s Degree, Early Childhood Education and Teaching
JP Stevens High School
Montclair State College, Montclair, NJ
Bachelor of Science (BS), Mathematics
NASD January 2005 - Present
Skills
Curriculum Design, Curriculum Development, Teaching, Lesson Planning, Classroom, Tutoring, Classroom Management, Educational Leadership, Elementary Education, Educational Technology, Special Education, Higher Education
Education
Northampton Community College 1999 — 2004
Associate’s Degree, Early Childhood Education and Teaching
JP Stevens High School
Montclair State College, Montclair, NJ
Bachelor of Science (BS), Mathematics
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
FINRA