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
Timothy Montgomery, CFA Timothy Montgomery, CFA's NASD Experience April 1999 - February 2000
Job Finance | Strategy | Valuation
Industry Management Consulting
Experience
Sonic Payments February 2015 - Present
BLUEMONT LLC January 2015 - Present
WTAS, LLC April 2013 - December 2014
Shareholder InSite, LLC September 2009 - April 2013
Duff & Phelps August 2007 - August 2009
Deloitte Financial Advisory Services March 2006 - July 2007
Bank of America November 2003 - March 2006
Prudential Securities November 2002 - May 2003
Luminant Worldwide February 2000 - May 2001
NASD April 1999 - February 2000
Skills
Financial Modeling, Valuation, FAS 157, Venture Capital, Private Equity, 409A, Financial Statement..., Business Strategy, Option Pricing Models, Start-up Consulting, Mergers & Acquisitions, Business Valuation, Financial Accounting, Auditing, Strategy, Equities, Portfolio Management, Analysis, Finance, DCF
Education
University of Georgia - Terry College of Business 2001 — 2002
MBA, Finance, Consulting & Entrepreneurship
University of Alabama 1993 — 1996
BBA, Finance
Sonic Payments February 2015 - Present
BLUEMONT LLC January 2015 - Present
WTAS, LLC April 2013 - December 2014
Shareholder InSite, LLC September 2009 - April 2013
Duff & Phelps August 2007 - August 2009
Deloitte Financial Advisory Services March 2006 - July 2007
Bank of America November 2003 - March 2006
Prudential Securities November 2002 - May 2003
Luminant Worldwide February 2000 - May 2001
NASD April 1999 - February 2000
Skills
Financial Modeling, Valuation, FAS 157, Venture Capital, Private Equity, 409A, Financial Statement..., Business Strategy, Option Pricing Models, Start-up Consulting, Mergers & Acquisitions, Business Valuation, Financial Accounting, Auditing, Strategy, Equities, Portfolio Management, Analysis, Finance, DCF
Education
University of Georgia - Terry College of Business 2001 — 2002
MBA, Finance, Consulting & Entrepreneurship
University of Alabama 1993 — 1996
BBA, Finance
Brad Kingsley Brad Kingsley's NASD Experience 1996 - 1998
Job Business, Finance & Technology Coach and Mentor
Industry Internet
Experience
College of Charleston January 2015 - Present
Kingsley Team July 2014 - Present
ORCS Web June 1996 - July 2014
Lending Tree 1999 - 2000
Consultant / Contractor 1995 - 1999
NASD 1996 - 1998
Skills
Strategy, Finance, Project Planning, E-commerce, SaaS, Cloud Computing, Integration, Analysis, Business Development, Entrepreneurship, Strategic Planning, Software Development, Web Hosting, Enterprise Software, Vendor Management, IT Strategy, Enterprise Architecture, Start-ups, Microsoft Technologies, Strategic Partnerships, Agile Methodologies, Project Management, Leadership, Networking
Education
Salisbury University - Perdue School of Business 1989 — 1992
Bachelors, Business - Marketing
College of Charleston January 2015 - Present
Kingsley Team July 2014 - Present
ORCS Web June 1996 - July 2014
Lending Tree 1999 - 2000
Consultant / Contractor 1995 - 1999
NASD 1996 - 1998
Skills
Strategy, Finance, Project Planning, E-commerce, SaaS, Cloud Computing, Integration, Analysis, Business Development, Entrepreneurship, Strategic Planning, Software Development, Web Hosting, Enterprise Software, Vendor Management, IT Strategy, Enterprise Architecture, Start-ups, Microsoft Technologies, Strategic Partnerships, Agile Methodologies, Project Management, Leadership, Networking
Education
Salisbury University - Perdue School of Business 1989 — 1992
Bachelors, Business - Marketing
Eric Henry Eric Henry's NASD Experience August 1997 - October 1999
Job Global Head of QA/QE at Philips
Industry Medical Devices
Experience
Philips Healthcare November 2014 - Present
Medtronic June 2012 - November 2014
GE Healthcare June 2010 - June 2012
Boston Scientific September 2007 - June 2010
Hologic July 2002 - September 2007
Spherion December 2000 - November 2002
Ultraprise October 1999 - December 2000
NASD August 1997 - October 1999
Amisys Managed Care Systems July 1996 - April 1997
Hechinger August 1995 - July 1996
Skills
Quality Assurance, FDA, Design Control, Medical Devices, Quality System, ISO 13485, IEC 62304, Software Quality..., Testing, Process Improvement, Validation, SDLC, Software Quality, CAPA, V&V, 21 CFR Part 11, Software Documentation, Computer System..., Quality Management, Cross-functional Team..., Change Control, Test Planning, Test Management, Quality Auditing, Software Verification, ISO 14971, Internal Audit, Test Strategy, Product Development, IT Audit, V-Model, CSV, QSR, Process Development, Quality Systems, GPSV, QMS Remediation, Inspection / Audit...
Education
Wilmington University
BS, Organizational Management
Texas A&M University 1984 — 1986
Electrical Engineering, English
Big Spring High School 1980 — 1984
Philips Healthcare November 2014 - Present
Medtronic June 2012 - November 2014
GE Healthcare June 2010 - June 2012
Boston Scientific September 2007 - June 2010
Hologic July 2002 - September 2007
Spherion December 2000 - November 2002
Ultraprise October 1999 - December 2000
NASD August 1997 - October 1999
Amisys Managed Care Systems July 1996 - April 1997
Hechinger August 1995 - July 1996
Skills
Quality Assurance, FDA, Design Control, Medical Devices, Quality System, ISO 13485, IEC 62304, Software Quality..., Testing, Process Improvement, Validation, SDLC, Software Quality, CAPA, V&V, 21 CFR Part 11, Software Documentation, Computer System..., Quality Management, Cross-functional Team..., Change Control, Test Planning, Test Management, Quality Auditing, Software Verification, ISO 14971, Internal Audit, Test Strategy, Product Development, IT Audit, V-Model, CSV, QSR, Process Development, Quality Systems, GPSV, QMS Remediation, Inspection / Audit...
Education
Wilmington University
BS, Organizational Management
Texas A&M University 1984 — 1986
Electrical Engineering, English
Big Spring High School 1980 — 1984
Warren Woo Warren Woo's NASD Experience February 1980 - December 1982
Job CSO
Industry Marketing and Advertising
Experience
Rose Rewards Managing PrincipalSelf-employedOctober 2002 - Present
Charles Schwab March 1987 - February 2002
NASD February 1980 - December 1982
Education
University of Southern California 1975 — 1980
Bachelor's Degree, Finance, Real Estate
Rose Rewards Managing PrincipalSelf-employedOctober 2002 - Present
Charles Schwab March 1987 - February 2002
NASD February 1980 - December 1982
Education
University of Southern California 1975 — 1980
Bachelor's Degree, Finance, Real Estate
richard baumann richard baumann's NASD Experience June 2001 - February 2004
Job VP Special Products Group at SMBC Nikko Securities
Industry Banking
Experience
SMBC Nikko Securities America June 2013 - Present
TD Securities USA September 2009 - April 2013
TD September 2007 - September 2009
TD April 2006 - September 2007
UBS Financial Services June 2004 - April 2006
NASD June 2001 - February 2004
Brown, Lisle, Cummings, Inc April 1999 - August 2000
Morgan Stanley Dean Witter September 1998 - February 1999
Merit Capital and Associates May 1997 - August 1998
Skills
Compliance, Supervision, Fixed Income, Equity Trading, trading business..., Compliance Monitoring, Broker-Dealer Compliance, Regulatory Examinations, Trading
Education
Salve Regina University 1991 — 1996
Bachelor's degree, English/ Business
SMBC Nikko Securities America June 2013 - Present
TD Securities USA September 2009 - April 2013
TD September 2007 - September 2009
TD April 2006 - September 2007
UBS Financial Services June 2004 - April 2006
NASD June 2001 - February 2004
Brown, Lisle, Cummings, Inc April 1999 - August 2000
Morgan Stanley Dean Witter September 1998 - February 1999
Merit Capital and Associates May 1997 - August 1998
Skills
Compliance, Supervision, Fixed Income, Equity Trading, trading business..., Compliance Monitoring, Broker-Dealer Compliance, Regulatory Examinations, Trading
Education
Salve Regina University 1991 — 1996
Bachelor's degree, English/ Business
David Dismuke David Dismuke's NASD Experience August 2015 - Present
Job at
Industry Performing Arts
Experience
NASD August 2015 - Present
Beloved Music March 2008 - Present
Skills
Music, Music Education, Classical, Music Theory, Musical Theatre, Ensemble, Chamber Music
Education
Tennessee State University 2003 — 2008
Bachelor's degree, Music Teacher Education
NASD August 2015 - Present
Beloved Music March 2008 - Present
Skills
Music, Music Education, Classical, Music Theory, Musical Theatre, Ensemble, Chamber Music
Education
Tennessee State University 2003 — 2008
Bachelor's degree, Music Teacher Education
Matthew Liebowitz Matthew Liebowitz's NASD Experience May 2007 - August 2007
Job Distressed and Special Situations Investment Analyst
Industry Investment Banking
Experience
Nomura December 2012 - Present
UBS Investment Bank July 2010 - December 2012
UBS Investment Bank June 2009 - July 2009
SkyBridge Capital May 2008 - August 2008
NASD May 2007 - August 2007
Knight Capital Group May 2006 - August 2006
Skills
Equities, Derivatives, Bonds, Financial Risk, Hedge Funds, Investments, Options, Risk Management, Trading
Education
University of Maryland College Park 2006 — 2010
Bachelor of Science in Finance, Finance
Nomura December 2012 - Present
UBS Investment Bank July 2010 - December 2012
UBS Investment Bank June 2009 - July 2009
SkyBridge Capital May 2008 - August 2008
NASD May 2007 - August 2007
Knight Capital Group May 2006 - August 2006
Skills
Equities, Derivatives, Bonds, Financial Risk, Hedge Funds, Investments, Options, Risk Management, Trading
Education
University of Maryland College Park 2006 — 2010
Bachelor of Science in Finance, Finance
Jim Reilly's NASD Experience 1989 - 1990
Job Managing Director, Chief Compliance Officer at TD Ameritrade
Industry Financial Services
Experience
TD Ameritrade May 2010 - Present
Lex Sequor Consulting, LLC January 2008 - May 2010
TIAA-CREF January 2006 - January 2008
Goldman Sachs May 2000 - December 2005
Salomon Smith Barney 1991 - 1997
NASD 1989 - 1990
Skills
Series 24, Series 7, Securities, Prime Brokerage, FINRA, Series 63, Financial Regulation, Hedge Funds, Broker-Dealer, ETFs, Alternative Investments, Fixed Income, Investment Advisory, Equities, Mutual Funds, Securities Regulation, OFAC, Trading Systems, Options, USA PATRIOT Act, Financial Services, Investment Banking, Capital Markets, AML, Investments, KYC, Trading, SEC, Electronic Trading, Asset Management, Financial Risk, Derivatives, Risk Management, Equity Trading, Financial Markets, Bonds, Equity Derivatives, Wealth Management, Structured Products, Investment Management, Management, Anti Money Laundering
Education
University of Maryland College Park 1983 — 1987
Bachelor of Science (BS), Finance
TD Ameritrade May 2010 - Present
Lex Sequor Consulting, LLC January 2008 - May 2010
TIAA-CREF January 2006 - January 2008
Goldman Sachs May 2000 - December 2005
Salomon Smith Barney 1991 - 1997
NASD 1989 - 1990
Skills
Series 24, Series 7, Securities, Prime Brokerage, FINRA, Series 63, Financial Regulation, Hedge Funds, Broker-Dealer, ETFs, Alternative Investments, Fixed Income, Investment Advisory, Equities, Mutual Funds, Securities Regulation, OFAC, Trading Systems, Options, USA PATRIOT Act, Financial Services, Investment Banking, Capital Markets, AML, Investments, KYC, Trading, SEC, Electronic Trading, Asset Management, Financial Risk, Derivatives, Risk Management, Equity Trading, Financial Markets, Bonds, Equity Derivatives, Wealth Management, Structured Products, Investment Management, Management, Anti Money Laundering
Education
University of Maryland College Park 1983 — 1987
Bachelor of Science (BS), Finance
Steven Aaron Steven Aaron's NASD Experience November 1987 - August 1993
Job Chief Compliance Officer at WR Hambrecht + Co
Industry Financial Services
Experience
WR Hambrecht + Co November 2014 - Present
Steven Aaron Consulting June 2011 - October 2014
Charles Schwab October 2009 - October 2010
Wells Fargo Securities August 2003 - September 2008
JP Morgan May 2001 - June 2003
Chase, Hambrecht & Quist November 1999 - May 2001
Hambrecht & Quist September 1993 - February 2000
NASD November 1987 - August 1993
Skills
Compliance, Global Compliance, Financial Services, Broker-Dealer, NASD, Broker-Dealer Compliance, FINRA, Capital Markets, Investment Advisor..., Securities Regulation, General Securities..., Securities License, Private Placements, Chief Compliance..., compliance monitoring..., private client..., capital markets..., Written supervisory..., compliance manual, regulatory inquiries, regulators, operations compliance, AML Program, Compliance Consulting, Operations Management, Financial Regulation, Series 63, Securities, Finance, AML, Financial Markets, Options, Hedge Funds, Leadership, Series 7, ETFs, Management, Investment Banking, Mergers & Acquisitions, Series 24, Executive Management, Mutual Funds, Asset Management, Alternative Investments, Fixed Income, Equities, Investment Advisory, Trading, KYC
Education
University of San Francisco - Masagung Graduate School of Management 1986 — 1987
MBA
University of Oregon 1980 — 1984
B.S., Economics
WR Hambrecht + Co November 2014 - Present
Steven Aaron Consulting June 2011 - October 2014
Charles Schwab October 2009 - October 2010
Wells Fargo Securities August 2003 - September 2008
JP Morgan May 2001 - June 2003
Chase, Hambrecht & Quist November 1999 - May 2001
Hambrecht & Quist September 1993 - February 2000
NASD November 1987 - August 1993
Skills
Compliance, Global Compliance, Financial Services, Broker-Dealer, NASD, Broker-Dealer Compliance, FINRA, Capital Markets, Investment Advisor..., Securities Regulation, General Securities..., Securities License, Private Placements, Chief Compliance..., compliance monitoring..., private client..., capital markets..., Written supervisory..., compliance manual, regulatory inquiries, regulators, operations compliance, AML Program, Compliance Consulting, Operations Management, Financial Regulation, Series 63, Securities, Finance, AML, Financial Markets, Options, Hedge Funds, Leadership, Series 7, ETFs, Management, Investment Banking, Mergers & Acquisitions, Series 24, Executive Management, Mutual Funds, Asset Management, Alternative Investments, Fixed Income, Equities, Investment Advisory, Trading, KYC
Education
University of San Francisco - Masagung Graduate School of Management 1986 — 1987
MBA
University of Oregon 1980 — 1984
B.S., Economics
Mike Markett Mike Markett's NASD Experience 1998 - 2004
Job IT Infrastructure Manager at Fidelity & Guaranty Life
Industry Financial Services
Experience
Fidelity & Guaranty Life September 2014 - Present
Hanger Orthopedic Group October 2006 - September 2014
Comsys IT Services June 2004 - October 2006
NASD (EDS Contract) July 1998 - June 2004
NASD 1998 - 2004
Skills
Mergers Analysis, Active Directory, Requirements Analysis, Mergers, Server Architecture, Storage Area Networks, Servers, Windows Server, Microsoft Exchange, System Administration, Networking, Disaster Recovery, Software Documentation, Switches, Mergers & Acquisitions, Troubleshooting, Windows, IT Strategy, Infrastructure, VMware, SAN, Data Center, Virtualization, Cloud Computing, IT Management, Routing, Storage, Network Design, ITIL, Security, Technical Support, Vendor Management, Enterprise Architecture, IT Operations, Citrix Netscaler Load..., Firewalls, VMware ESX, Integration, DNS, Cisco Technologies, Group Policy, SharePoint, System Deployment, Unix, Citrix, IT Service Management, Routers, Network Administration, Hardware, VPN
Education
University of Maryland College Park
BA, Economics
University of Maryland University College 2010 — 2015
MA, Management: Information Systems and Services
Fidelity & Guaranty Life September 2014 - Present
Hanger Orthopedic Group October 2006 - September 2014
Comsys IT Services June 2004 - October 2006
NASD (EDS Contract) July 1998 - June 2004
NASD 1998 - 2004
Skills
Mergers Analysis, Active Directory, Requirements Analysis, Mergers, Server Architecture, Storage Area Networks, Servers, Windows Server, Microsoft Exchange, System Administration, Networking, Disaster Recovery, Software Documentation, Switches, Mergers & Acquisitions, Troubleshooting, Windows, IT Strategy, Infrastructure, VMware, SAN, Data Center, Virtualization, Cloud Computing, IT Management, Routing, Storage, Network Design, ITIL, Security, Technical Support, Vendor Management, Enterprise Architecture, IT Operations, Citrix Netscaler Load..., Firewalls, VMware ESX, Integration, DNS, Cisco Technologies, Group Policy, SharePoint, System Deployment, Unix, Citrix, IT Service Management, Routers, Network Administration, Hardware, VPN
Education
University of Maryland College Park
BA, Economics
University of Maryland University College 2010 — 2015
MA, Management: Information Systems and Services
Paul Zavodnyik's NASD Experience June 2004 - January 2006
Job AntiMoney Laundering Analyst at TD Ameritrade
Industry Financial Services
Experience
TD Ameritrade January 2013 - Present
TD Ameritrade November 2010 - January 2013
NYSE Arca, Inc. November 2006 - May 2010
Financial Industry Regulatory Authority January 2006 - October 2006
NASD June 2004 - January 2006
G-Bar LLC November 2001 - May 2004
Botta Capital Management, LLC August 2000 - October 2001
Timber Hill, LLC January 1997 - August 2000
Chicago Mercantile Exchange January 1995 - February 1997
Amerititle, Inc October 1991 - January 1995
Skills
Securities, Options, Trading, Trade Compliance, Market Regulation, Series 7, Series 66, Series 3, Series 4, Series 24, Series 55, Regulatory Examinations, Series 34, AML, Securities Regulation
Education
University of Notre Dame 1986 — 1988
Bachelor of Arts, Psychology
Homewood-Flossmoor High School
TD Ameritrade January 2013 - Present
TD Ameritrade November 2010 - January 2013
NYSE Arca, Inc. November 2006 - May 2010
Financial Industry Regulatory Authority January 2006 - October 2006
NASD June 2004 - January 2006
G-Bar LLC November 2001 - May 2004
Botta Capital Management, LLC August 2000 - October 2001
Timber Hill, LLC January 1997 - August 2000
Chicago Mercantile Exchange January 1995 - February 1997
Amerititle, Inc October 1991 - January 1995
Skills
Securities, Options, Trading, Trade Compliance, Market Regulation, Series 7, Series 66, Series 3, Series 4, Series 24, Series 55, Regulatory Examinations, Series 34, AML, Securities Regulation
Education
University of Notre Dame 1986 — 1988
Bachelor of Arts, Psychology
Homewood-Flossmoor High School
Richard (Rick) Block, CFA Richard (Rick) Block, CFA's NASD Experience 1985 - 1987
Job Director of Investments
Industry Investment Management
Experience
BMO Harris Bank August 2010 - Present
MB Financial Bank October 2007 - August 2010
Harris Bank April 1998 - October 2007
Peregrine Financial Group April 1997 - April 1998
Key Bank June 1996 - February 1997
NationsBanc-CRT June 1994 - June 1996
Harris Bank August 1990 - June 1994
Nationsbank (fka NCNB-Texas) November 1987 - August 1990
NASD 1985 - 1987
Skills
Portfolio Management, Wealth Management, Asset Allocation, Investments, Asset Managment, Financial Analysis, Investment Advisory, Bloomberg, Investment Strategies, Equities, Fixed Income
Education
The University of Texas at Arlington 1979 — 1984
BBA, Finance
BMO Harris Bank August 2010 - Present
MB Financial Bank October 2007 - August 2010
Harris Bank April 1998 - October 2007
Peregrine Financial Group April 1997 - April 1998
Key Bank June 1996 - February 1997
NationsBanc-CRT June 1994 - June 1996
Harris Bank August 1990 - June 1994
Nationsbank (fka NCNB-Texas) November 1987 - August 1990
NASD 1985 - 1987
Skills
Portfolio Management, Wealth Management, Asset Allocation, Investments, Asset Managment, Financial Analysis, Investment Advisory, Bloomberg, Investment Strategies, Equities, Fixed Income
Education
The University of Texas at Arlington 1979 — 1984
BBA, Finance
Veselin Georgiev Veselin Georgiev's NASD Experience September 2007 - June 2008
Job SharePoint Developer at Abilitics and Microsoft Certified Trainer
Industry Information Technology and Services
Experience
Lead IT May 2011 - Present
Abilitics May 2011 - Present
Abilitics April 2010 - May 2011
Abilitics July 2008 - April 2011
NASD September 2007 - June 2008
NASD March 2007 - June 2008
Skills
.NET Training, .NET Development, Public Speaking, .NET, LINQ, Training, WCF, ASP.NET, C#, Silverlight, SharePoint, Entity Framework, Programming, ASP.NET MVC, CSS, WPF, HTML, Microsoft SQL Server, Visual Studio, Microsoft Technologies, OOP, XSLT, TFS, JavaScript, XML, Software Project..., AJAX, UML, SQL, jQuery, IIS, ADO.NET, Design Patterns
Education
Sofia University St. Kliment Ohridski 2009 — 2011
Master
Sofia University St. Kliment Ohridski 2005 — 2009
Bachelor
Math and Science High School - Montana 2000 — 2005
Lead IT May 2011 - Present
Abilitics May 2011 - Present
Abilitics April 2010 - May 2011
Abilitics July 2008 - April 2011
NASD September 2007 - June 2008
NASD March 2007 - June 2008
Skills
.NET Training, .NET Development, Public Speaking, .NET, LINQ, Training, WCF, ASP.NET, C#, Silverlight, SharePoint, Entity Framework, Programming, ASP.NET MVC, CSS, WPF, HTML, Microsoft SQL Server, Visual Studio, Microsoft Technologies, OOP, XSLT, TFS, JavaScript, XML, Software Project..., AJAX, UML, SQL, jQuery, IIS, ADO.NET, Design Patterns
Education
Sofia University St. Kliment Ohridski 2009 — 2011
Master
Sofia University St. Kliment Ohridski 2005 — 2009
Bachelor
Math and Science High School - Montana 2000 — 2005
Yvette Gluck | Lighten Up! Organizers Yvette Gluck | Lighten Up! Organizers's NASD Experience 1988 - 1993
Job Certified Professional Organizer | Home Organizing | Office Organizing |
Industry Consumer Services
Experience
Lighten Up! Organizers 2006 - Present
NASD 1988 - 1993
NetExpress/DHL 1985 - 1988
Skills
Professional Organizing, Entrepreneurship, Time Management, Program Management, Project Planning, Coaching, Teaching, Microsoft Office, Process Improvement, Project Management, Marketing, Marketing Strategy, Small Business, Customer Service, Strategic Planning, Leadership, Team Building, Training, Organizational..., Public Speaking
Education
Case Western Reserve University - Weatherhead School of Management 1980 — 1981
MBA, Operations Research
University of Maryland College Park 1976 — 1980
Bachelor of Science, Operations Research
Lighten Up! Organizers 2006 - Present
NASD 1988 - 1993
NetExpress/DHL 1985 - 1988
Skills
Professional Organizing, Entrepreneurship, Time Management, Program Management, Project Planning, Coaching, Teaching, Microsoft Office, Process Improvement, Project Management, Marketing, Marketing Strategy, Small Business, Customer Service, Strategic Planning, Leadership, Team Building, Training, Organizational..., Public Speaking
Education
Case Western Reserve University - Weatherhead School of Management 1980 — 1981
MBA, Operations Research
University of Maryland College Park 1976 — 1980
Bachelor of Science, Operations Research
Todor Tsonkov Todor Tsonkov's NASD Experience April 2007 - July 2007
Job Senior C++ and Java Developer
Industry Computer Software
Experience
Comverse August 2013 - Present
VMware January 2013 - July 2013
Fuze Box November 2009 - January 2013
Commetric July 2008 - April 2009
Micro Focus July 2007 - July 2008
NASD April 2007 - July 2007
Skills
C++, Java, C#, Web Services, Distributed Systems, Artificial Intelligence, Data Mining, Information Retrieval, Bash, SOAP, Programming, Multithreading, OOP, Algorithms, Software Engineering, Visual Studio, Software Development, Eclipse, MySQL, Microsoft SQL Server, Subversion, JUnit, XML, Tomcat, PostgreSQL, Design Patterns, WinForms, Linux, STL, Apache, JSON, C, Python, Win32 API
Education
Sofia University St. Kliment Ohridski 2012 — 2015
Doctor of Philosophy (Ph.D.), Computer Science
Sofia University St. Kliment Ohridski 2010 — 2011
Masters, Artificial Intelligence, 5.85
Sofia University St. Kliment Ohridski 2006 — 2010
BSc, Computer Science, 5.51
Comverse August 2013 - Present
VMware January 2013 - July 2013
Fuze Box November 2009 - January 2013
Commetric July 2008 - April 2009
Micro Focus July 2007 - July 2008
NASD April 2007 - July 2007
Skills
C++, Java, C#, Web Services, Distributed Systems, Artificial Intelligence, Data Mining, Information Retrieval, Bash, SOAP, Programming, Multithreading, OOP, Algorithms, Software Engineering, Visual Studio, Software Development, Eclipse, MySQL, Microsoft SQL Server, Subversion, JUnit, XML, Tomcat, PostgreSQL, Design Patterns, WinForms, Linux, STL, Apache, JSON, C, Python, Win32 API
Education
Sofia University St. Kliment Ohridski 2012 — 2015
Doctor of Philosophy (Ph.D.), Computer Science
Sofia University St. Kliment Ohridski 2010 — 2011
Masters, Artificial Intelligence, 5.85
Sofia University St. Kliment Ohridski 2006 — 2010
BSc, Computer Science, 5.51
Patricia Hopkins (Kelehan) CPA,CIA,CISA, CRISC's NASD Experience February 2005 - July 2006
Job Manager, FEP Internal Audit Services at CareFirst BlueCross BlueShield
Industry Insurance
Experience
CareFirst BlueCross BlueShield February 2012 - Present
P H Consulting (self employed) May 2011 - May 2012
Fidelity & Guaranty Life (formerly Old Mutual Financial Network) July 2006 - May 2011
NASD February 2005 - July 2006
Ascend One April 2002 - February 2004
Baltimore Gas & Electric July 1989 - July 2001
Maryland Casualty 1987 - 1989
Crown Central Petroleum Corporation 1980 - 1987
Skills
Sarbanes-Oxley Act, Internal Audit
Education
University of Baltimore 1978 — 1980
BS, Accounting
CareFirst BlueCross BlueShield February 2012 - Present
P H Consulting (self employed) May 2011 - May 2012
Fidelity & Guaranty Life (formerly Old Mutual Financial Network) July 2006 - May 2011
NASD February 2005 - July 2006
Ascend One April 2002 - February 2004
Baltimore Gas & Electric July 1989 - July 2001
Maryland Casualty 1987 - 1989
Crown Central Petroleum Corporation 1980 - 1987
Skills
Sarbanes-Oxley Act, Internal Audit
Education
University of Baltimore 1978 — 1980
BS, Accounting
Sam Ireland's NASD Experience August 1986 - December 1997
Job Manager at Deloitte Consulting, LLP
Industry Management Consulting
Experience
Deloitte Consulting June 2009 - Present
JGS Performance Solutions, LLC September 2007 - June 2009
Centre for Management & Technology August 2004 - August 2007
MAXIMUS August 2000 - August 2004
American Red Cross National Headquarters August 1998 - August 2000
NASD August 1986 - December 1997
U.S. Senate July 1973 - August 1986
Skills
Program Management, Performance Management, Leadership, Business Analysis, Business Process, Business Strategy, Strategic Planning, Workshop Facilitation, Executive Management, Business Process..., Public Speaking, Management Consulting, Business Process..., Business Transformation, Strategy, Management, Knowledge Management, Business Process Design, PMO, Process Improvement, Governance, Process Modeling, Performance Measurement, Financial Reporting, Project Management, Organizational Needs...
Education
Tulane University 1968 — 1972
BA, Political Science and Government
MVHS
Deloitte Consulting June 2009 - Present
JGS Performance Solutions, LLC September 2007 - June 2009
Centre for Management & Technology August 2004 - August 2007
MAXIMUS August 2000 - August 2004
American Red Cross National Headquarters August 1998 - August 2000
NASD August 1986 - December 1997
U.S. Senate July 1973 - August 1986
Skills
Program Management, Performance Management, Leadership, Business Analysis, Business Process, Business Strategy, Strategic Planning, Workshop Facilitation, Executive Management, Business Process..., Public Speaking, Management Consulting, Business Process..., Business Transformation, Strategy, Management, Knowledge Management, Business Process Design, PMO, Process Improvement, Governance, Process Modeling, Performance Measurement, Financial Reporting, Project Management, Organizational Needs...
Education
Tulane University 1968 — 1972
BA, Political Science and Government
MVHS
Erik Mogavero Erik Mogavero's NASD Experience September 1998 - December 1999
Job Head of Asset Management Compliance at Deutsche Bank
Industry Investment Management
Experience
Deutsche Bank April 2013 - Present
Nomura Asset Management April 2011 - April 2013
Goldman Sachs Asset Management October 2007 - March 2011
AIG Investments December 1999 - September 2007
NASD September 1998 - December 1999
Oppenheimer Capital August 1994 - August 1998
National Financial Services Group July 1993 - June 1994
Skills
Alternative Investments, Hedge Funds
Education
St. John's University, The Peter J. Tobin College of Business 1996 — 2000
MBA, Finance
Saint John's University 1989 — 1993
BS, Business Management
Deutsche Bank April 2013 - Present
Nomura Asset Management April 2011 - April 2013
Goldman Sachs Asset Management October 2007 - March 2011
AIG Investments December 1999 - September 2007
NASD September 1998 - December 1999
Oppenheimer Capital August 1994 - August 1998
National Financial Services Group July 1993 - June 1994
Skills
Alternative Investments, Hedge Funds
Education
St. John's University, The Peter J. Tobin College of Business 1996 — 2000
MBA, Finance
Saint John's University 1989 — 1993
BS, Business Management
Suzanne Riddlebarger Suzanne Riddlebarger's NASD Experience 2005 - 2006
Job Use Case Specialist at ICF International
Industry Information Technology and Services
Experience
ICF International 2006 - Present
NASD 2005 - 2006
NASDAQ 2001 - 2004
Cable & Wireless 1999 - 2001
Skills
Requirements Analysis, Business Analysis, PMP, SDLC, Business Process..., Visio, Business Process..., Data Analysis, PMO, Enterprise Architecture, Requirements Gathering, Business Intelligence, Software Project..., Program Management, Integration
Education
New Mexico State University
University of Oklahoma
ICF International 2006 - Present
NASD 2005 - 2006
NASDAQ 2001 - 2004
Cable & Wireless 1999 - 2001
Skills
Requirements Analysis, Business Analysis, PMP, SDLC, Business Process..., Visio, Business Process..., Data Analysis, PMO, Enterprise Architecture, Requirements Gathering, Business Intelligence, Software Project..., Program Management, Integration
Education
New Mexico State University
University of Oklahoma
David E. Paulukaitis David E. Paulukaitis's NASD Experience January 1982 - April 2005
Job Owner, Mainstay Capital Markets Consultants, Inc.
Industry Capital Markets
Experience
Mainstay Capital Markets Consultants, Inc. April 2005 - Present
NASD January 1982 - April 2005
Skills
Corporate Finance, Securities, Mutual Funds, Asset Management, Expert Witness, Arbitration, Private Investigations, Litigation, Investment Advisory, Due Diligence, Supervision, Investments, Risk Management, Project Planning, FINRA, Compliance, Fraud, Series 7, Brokerage, Internal Controls, Alternative Investments, Hedge Funds, Series 63, Wealth Management, Capital Markets, Enforcement, Options, Equities, Financial Services, Corporate Law, Private Equity, Fixed Income, Financial Markets, Securities Regulation, Trading
Education
University of Alabama in Huntsville 1976 — 1980
BSBA, Finance
Mainstay Capital Markets Consultants, Inc. April 2005 - Present
NASD January 1982 - April 2005
Skills
Corporate Finance, Securities, Mutual Funds, Asset Management, Expert Witness, Arbitration, Private Investigations, Litigation, Investment Advisory, Due Diligence, Supervision, Investments, Risk Management, Project Planning, FINRA, Compliance, Fraud, Series 7, Brokerage, Internal Controls, Alternative Investments, Hedge Funds, Series 63, Wealth Management, Capital Markets, Enforcement, Options, Equities, Financial Services, Corporate Law, Private Equity, Fixed Income, Financial Markets, Securities Regulation, Trading
Education
University of Alabama in Huntsville 1976 — 1980
BSBA, Finance
Elisabeth Hayes's NASD Experience November 1988 - September 1995
Job AVP, FINRA and Principal, Studio E Partners
Industry Financial Services
Experience
Garrison Forest School July 2015 - Present
Studio E Partners, LLC August 2012 - Present
Financial Industry Regulatory Authority (FINRA) October 2004 - Present
Garrrison Forest School May 2007 - June 2010
NASD (now FINRA) July 2003 - February 2007
EO Consulting, Inc. December 1999 - July 2003
TechCapital Magazine May 1999 - December 1999
NASDAQ September 1995 - April 1999
NASD November 1988 - September 1995
Sarah Cooper Associates, Inc. March 1986 - November 1988
Skills
Process Improvement, Project Management, Marketing, Cross-functional Team..., Start-ups, Leadership, Strategic Partnerships, Financial Services, Coaching, Business Coaching, Entrepreneurship, Program Management, Marketing Strategy, Market Research, Management, Finance, Business Strategy, Strategy, Public Relations, Public Speaking, Marketing Communications
Education
The Johns Hopkins University - Carey Business School 1997 — 2003
MS, Marketing
University of Virginia 1981 — 1985
BA, Art History
Coach Training Institute 2011 — 2012
Garrison Forest School 1978 — 1981
Garrison Forest School July 2015 - Present
Studio E Partners, LLC August 2012 - Present
Financial Industry Regulatory Authority (FINRA) October 2004 - Present
Garrrison Forest School May 2007 - June 2010
NASD (now FINRA) July 2003 - February 2007
EO Consulting, Inc. December 1999 - July 2003
TechCapital Magazine May 1999 - December 1999
NASDAQ September 1995 - April 1999
NASD November 1988 - September 1995
Sarah Cooper Associates, Inc. March 1986 - November 1988
Skills
Process Improvement, Project Management, Marketing, Cross-functional Team..., Start-ups, Leadership, Strategic Partnerships, Financial Services, Coaching, Business Coaching, Entrepreneurship, Program Management, Marketing Strategy, Market Research, Management, Finance, Business Strategy, Strategy, Public Relations, Public Speaking, Marketing Communications
Education
The Johns Hopkins University - Carey Business School 1997 — 2003
MS, Marketing
University of Virginia 1981 — 1985
BA, Art History
Coach Training Institute 2011 — 2012
Garrison Forest School 1978 — 1981
Marc S. Ritchie, CISA, CISM, CGEIT, LSSYB, MBA Marc S. Ritchie, CISA, CISM, CGEIT, LSSYB, MBA's NASD Experience April 1996 - July 2001
Job Principal Consultant at Accuratus
Industry Banking
Experience
Robert Half Management Resources September 2014 - November 2014
Sancrosoft USA April 2014 - August 2014
Accurate January 2014 - April 2014
Asurion September 2013 - December 2013
Open Solutions March 2008 - May 2013
KPMG Advisory July 2005 - March 2008
Covenant Health May 2004 - July 2005
General Reinsurance October 2002 - April 2004
NASD April 1996 - July 2001
NASDAQ May 1993 - June 1996
Skills
Governance, IT Audit, Information Security, Risk Management, Internal Audit, Project Management, Analysis, Strategic Planning, Infrastructure, Sarbanes-Oxley Act, Enterprise Risk..., Process Improvement, Banking, Business Analysis, Vendor Management, Systems Analysis, Internal Controls, Risk Assessment, Business Continuity, Disaster Recovery, Team Leadership, Auditing, Finance, CISA, Project Planning, PCI DSS, SDLC, Information Technology
Education
Southern Connecticut State University 2002 — 2004
Masters, Business Administration - MBA, 3.2
Charter Oak State College 1998 — 2002
BS, Business & Information Systems, 3.0
Robert Half Management Resources September 2014 - November 2014
Sancrosoft USA April 2014 - August 2014
Accurate January 2014 - April 2014
Asurion September 2013 - December 2013
Open Solutions March 2008 - May 2013
KPMG Advisory July 2005 - March 2008
Covenant Health May 2004 - July 2005
General Reinsurance October 2002 - April 2004
NASD April 1996 - July 2001
NASDAQ May 1993 - June 1996
Skills
Governance, IT Audit, Information Security, Risk Management, Internal Audit, Project Management, Analysis, Strategic Planning, Infrastructure, Sarbanes-Oxley Act, Enterprise Risk..., Process Improvement, Banking, Business Analysis, Vendor Management, Systems Analysis, Internal Controls, Risk Assessment, Business Continuity, Disaster Recovery, Team Leadership, Auditing, Finance, CISA, Project Planning, PCI DSS, SDLC, Information Technology
Education
Southern Connecticut State University 2002 — 2004
Masters, Business Administration - MBA, 3.2
Charter Oak State College 1998 — 2002
BS, Business & Information Systems, 3.0
W Charles Robinson W Charles Robinson's NASD Experience January 1995 - November 2000
Job Attorney at C. Robinson & Associates, LLC
Industry Law Practice
Experience
C. Robinson & Associates, LLC December 1981 - Present
Village of Hempstead January 1999 - April 2005
NASD January 1995 - November 2000
Willkie, Farr & Gallagher June 1978 - March 1981
United States Air Force September 1974 - July 1975
United State Air Force January 1972 - May 1974
Skills
Legal Writing, Civil Litigation, Legal Research, Commercial Litigation, Corporate Law, Litigation
Education
Vanderbilt University Law School 1975 — 1978
Doctor of Law (J.D.), Business/Commerce, General
Tennessee State University 1970 — 1974
Bachelor of Science (B.S.), Business Administration and Management, General, Distinction and University Honors
C. Robinson & Associates, LLC December 1981 - Present
Village of Hempstead January 1999 - April 2005
NASD January 1995 - November 2000
Willkie, Farr & Gallagher June 1978 - March 1981
United States Air Force September 1974 - July 1975
United State Air Force January 1972 - May 1974
Skills
Legal Writing, Civil Litigation, Legal Research, Commercial Litigation, Corporate Law, Litigation
Education
Vanderbilt University Law School 1975 — 1978
Doctor of Law (J.D.), Business/Commerce, General
Tennessee State University 1970 — 1974
Bachelor of Science (B.S.), Business Administration and Management, General, Distinction and University Honors
Craig Stine, PMP, ITIL Craig Stine, PMP, ITIL's NASD Experience November 1998 - January 2000
Job Integrated Product Lead Lockheed Martin
Industry Defense & Space
Experience
Lockheed Martin TPMPerot Systems2002 - 2005
dbdynamics January 2000 - June 2001
STI Consulting 2001 - 2001
NASD November 1998 - January 2000
Legislative Demographic Services 1996 - 1998
Skills
Integration, Program Management, Earned Value Management, SDLC, PMP, Systems Engineering, Process Improvement, Requirements Analysis, SharePoint
Education
University of Maryland Baltimore County 1995 — 2000
Master of Science (MS), Policy Sciences
Towson University 1988 — 1992
Lockheed Martin TPMPerot Systems2002 - 2005
dbdynamics January 2000 - June 2001
STI Consulting 2001 - 2001
NASD November 1998 - January 2000
Legislative Demographic Services 1996 - 1998
Skills
Integration, Program Management, Earned Value Management, SDLC, PMP, Systems Engineering, Process Improvement, Requirements Analysis, SharePoint
Education
University of Maryland Baltimore County 1995 — 2000
Master of Science (MS), Policy Sciences
Towson University 1988 — 1992
Ivan Baev's NASD Experience January 2008 - May 2008
Job Web Developer at Santander Consumer USA Inc.
Industry Computer Software
Experience
Santander Consumer USA Inc. August 2012 - Present
TSD Services August 2012 - Present
OnFit Systems July 2010 - August 2012
Home December 2009 - September 2010
Infragistics June 2008 - April 2010
NASD January 2008 - May 2008
Skills
C#, ASP.NET, ASP.NET AJAX, ASP.NET MVC, JavaScript, jQuery, LINQ, ADO.NET, AJAX, OOP, MVC, Visual Studio, Windows Azure, CSS, HTML + CSS, HTML, HTML5, DHTML, SQL, SQL Server, DOM, Subversion, Git, TFS, MSBuild, NAnt, SMTP, FTP, Flash, Silverlight, WPF, Entity Framework, .NET, XPath, XML, IIS, Testing, SQL Server 2000-2008, Teamwork, Team Leadership, Organizational..., Microsoft SQL Server, JSON, Design Patterns, WinForms, T-SQL
Education
Technical University Sofia 2009 — 2011
Master's degree, Computer science
Technical University Sofia 2005 — 2009
Bachelor's degree, Computer science
Santander Consumer USA Inc. August 2012 - Present
TSD Services August 2012 - Present
OnFit Systems July 2010 - August 2012
Home December 2009 - September 2010
Infragistics June 2008 - April 2010
NASD January 2008 - May 2008
Skills
C#, ASP.NET, ASP.NET AJAX, ASP.NET MVC, JavaScript, jQuery, LINQ, ADO.NET, AJAX, OOP, MVC, Visual Studio, Windows Azure, CSS, HTML + CSS, HTML, HTML5, DHTML, SQL, SQL Server, DOM, Subversion, Git, TFS, MSBuild, NAnt, SMTP, FTP, Flash, Silverlight, WPF, Entity Framework, .NET, XPath, XML, IIS, Testing, SQL Server 2000-2008, Teamwork, Team Leadership, Organizational..., Microsoft SQL Server, JSON, Design Patterns, WinForms, T-SQL
Education
Technical University Sofia 2009 — 2011
Master's degree, Computer science
Technical University Sofia 2005 — 2009
Bachelor's degree, Computer science
Floyd Williams Floyd Williams's NASD Experience 2002 - 2006
Job VP Parking Division at Sensys Networks, Inc.
Industry Information Services
Experience
Sensys Networks March 2009 - Present
Sensys Networks, Inc. April 2012 - Present
Alameda County Office of Education November 2008 - January 2009
GFC May 2007 - October 2008
NASD 2002 - 2006
FoundryOne 2000 - 2002
Engage (formerly I/PRO) 1997 - 2000
Evolve Software 1996 - 1997
TCSI 1989 - 1997
Skills
Product Management, Product Marketing, Program Management, Project Management, Consulting, Business Strategy, Leadership, Strategy, Enterprise Software, Telecommunications, Start-ups, Software Development, SaaS, CRM, Executive Management, Sales Management, Mobile Devices, Management, Strategic Planning, Marketing Strategy, New Business Development, Business Planning, Marketing, Cross-functional Team..., Business Development, Sales, Mergers & Acquisitions, Cloud Computing, Product Development, Entrepreneurship, Market Research, Strategic Partnerships, Go-to-market Strategy
Education
Stanford University 1984 — 1986
MS
University of Arizona 1979 — 1983
BS
Sensys Networks March 2009 - Present
Sensys Networks, Inc. April 2012 - Present
Alameda County Office of Education November 2008 - January 2009
GFC May 2007 - October 2008
NASD 2002 - 2006
FoundryOne 2000 - 2002
Engage (formerly I/PRO) 1997 - 2000
Evolve Software 1996 - 1997
TCSI 1989 - 1997
Skills
Product Management, Product Marketing, Program Management, Project Management, Consulting, Business Strategy, Leadership, Strategy, Enterprise Software, Telecommunications, Start-ups, Software Development, SaaS, CRM, Executive Management, Sales Management, Mobile Devices, Management, Strategic Planning, Marketing Strategy, New Business Development, Business Planning, Marketing, Cross-functional Team..., Business Development, Sales, Mergers & Acquisitions, Cloud Computing, Product Development, Entrepreneurship, Market Research, Strategic Partnerships, Go-to-market Strategy
Education
Stanford University 1984 — 1986
MS
University of Arizona 1979 — 1983
BS
Aja Pressley Aja Pressley's NASD Experience June 2006 - August 2006
Job Jr. Recruiter
Industry Human Resources
Experience
Charlotte Housing Authority April 2015 - Present
State of NY Metropolitan Transportation Authority May 2013 - July 2014
State of NY Metropolitan Transportation Authority January 2011 - May 2013
Armani Exchange March 2010 - January 2011
In The Life Media August 2008 - February 2009
RDF USA/Wife Swap July 2008 - January 2009
RDF Media USA/Wife Swap March 2008 - June 2008
Bayview Consulting USA January 2008 - February 2008
Home Box Office September 2006 - December 2007
NASD June 2006 - August 2006
Skills
Scheduling, Microsoft Office, Word, Excel, Customer Service, Outlook, Microsoft Excel, Microsoft Word, Recruiting, Human Resources, Training, Employee Relations, PeopleSoft, Management, Sourcing, Screening Resumes, Interviews, Screening, Process Scheduler
Education
University of Scranton 2013 — 2016
Master of Science (MS), Human Resources, 3.83 GPA
CSB School of Broadcasting 2007 — 2008
Broadcasting Certificate, TV Production
City University of New York-Brooklyn College 2003 — 2006
Bachelor of Science (B.S.), Broadcast Journalism, Cum Laude, 3.5 GPA
Charlotte Housing Authority April 2015 - Present
State of NY Metropolitan Transportation Authority May 2013 - July 2014
State of NY Metropolitan Transportation Authority January 2011 - May 2013
Armani Exchange March 2010 - January 2011
In The Life Media August 2008 - February 2009
RDF USA/Wife Swap July 2008 - January 2009
RDF Media USA/Wife Swap March 2008 - June 2008
Bayview Consulting USA January 2008 - February 2008
Home Box Office September 2006 - December 2007
NASD June 2006 - August 2006
Skills
Scheduling, Microsoft Office, Word, Excel, Customer Service, Outlook, Microsoft Excel, Microsoft Word, Recruiting, Human Resources, Training, Employee Relations, PeopleSoft, Management, Sourcing, Screening Resumes, Interviews, Screening, Process Scheduler
Education
University of Scranton 2013 — 2016
Master of Science (MS), Human Resources, 3.83 GPA
CSB School of Broadcasting 2007 — 2008
Broadcasting Certificate, TV Production
City University of New York-Brooklyn College 2003 — 2006
Bachelor of Science (B.S.), Broadcast Journalism, Cum Laude, 3.5 GPA
Andreas Anastassopoulos Andreas Anastassopoulos's NASD Experience 2000 - 2000
Job Senior Manager at EY
Industry Financial Services
Experience
EY July 2015 - Present
SAS March 2012 - July 2015
IBM March 2010 - March 2012
Zencos Consulting July 2008 - March 2010
Merkle April 2008 - June 2008
PricewaterhouseCoopers January 2005 - February 2008
Fannie Mae 2001 - 2004
NASD 2000 - 2000
Skills
Analytics, SAS, Customer Relations, Requirements Analysis, Business Intelligence, Business Analysis, Program Management, Data Analysis, Business Analytics, SQL, Data Modeling, Problem Solving, People Management, Team Leadership, Management Consulting, Banking, Analysis, Business Requirements, Data Warehousing, Risk, Data Integration, Requirements Gathering, Financial Modeling, Financial Analysis, Financial Risk, Cross-functional Team..., Oracle, Predictive Analytics, Management, Consulting
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1995
MBS, Statistics
University of Maryland College Park 1987 — 1992
BS, Finance / DIS (Dual)
EY July 2015 - Present
SAS March 2012 - July 2015
IBM March 2010 - March 2012
Zencos Consulting July 2008 - March 2010
Merkle April 2008 - June 2008
PricewaterhouseCoopers January 2005 - February 2008
Fannie Mae 2001 - 2004
NASD 2000 - 2000
Skills
Analytics, SAS, Customer Relations, Requirements Analysis, Business Intelligence, Business Analysis, Program Management, Data Analysis, Business Analytics, SQL, Data Modeling, Problem Solving, People Management, Team Leadership, Management Consulting, Banking, Analysis, Business Requirements, Data Warehousing, Risk, Data Integration, Requirements Gathering, Financial Modeling, Financial Analysis, Financial Risk, Cross-functional Team..., Oracle, Predictive Analytics, Management, Consulting
Education
University of Maryland - Robert H. Smith School of Business 1992 — 1995
MBS, Statistics
University of Maryland College Park 1987 — 1992
BS, Finance / DIS (Dual)
Alan Wolper Alan Wolper's NASD Experience 1993 - 2003
Job Partner at Ulmer & Berne LLP
Industry Law Practice
Experience
Ulmer & Berne LLP March 2012 - Present
Locke Lord LLP October 2007 - March 2012
Sutherland Asbill & Brennan LLP April 2004 - October 2007
FINRA 1999 - 2003
NASD 1993 - 2003
NASD 1993 - 2000
Hunton & Williams LLP 1989 - 1993
Vaughan Murphy 1984 - 1988
Skills
Securities, Arbitration, Securities Regulation, Enforcement, Securities Litigation, FINRA, Internal Investigations, Class Actions, Commercial Litigation, Litigation, Appeals, Broker-Dealer, SEC, Corporate Governance, Civil Litigation, Legal Research, Trade Secrets, Corporate Law, Legal Writing, White Collar Criminal..., Business Litigation, Alternative Dispute..., Mediation, Trial Practice, FCPA, Financial Regulation, Licensing, Trials, Dispute Resolution, Insurance Law, Product Liability, Privacy Law, Non-compete Agreements
Education
University of North Carolina School of Law 1980 — 1983
JD
Rutgers University-New Brunswick 1976 — 1980
BA, English
Ulmer & Berne LLP March 2012 - Present
Locke Lord LLP October 2007 - March 2012
Sutherland Asbill & Brennan LLP April 2004 - October 2007
FINRA 1999 - 2003
NASD 1993 - 2003
NASD 1993 - 2000
Hunton & Williams LLP 1989 - 1993
Vaughan Murphy 1984 - 1988
Skills
Securities, Arbitration, Securities Regulation, Enforcement, Securities Litigation, FINRA, Internal Investigations, Class Actions, Commercial Litigation, Litigation, Appeals, Broker-Dealer, SEC, Corporate Governance, Civil Litigation, Legal Research, Trade Secrets, Corporate Law, Legal Writing, White Collar Criminal..., Business Litigation, Alternative Dispute..., Mediation, Trial Practice, FCPA, Financial Regulation, Licensing, Trials, Dispute Resolution, Insurance Law, Product Liability, Privacy Law, Non-compete Agreements
Education
University of North Carolina School of Law 1980 — 1983
JD
Rutgers University-New Brunswick 1976 — 1980
BA, English
Joseph Donnantuoni Joseph Donnantuoni's NASD Experience September 1986 - July 1995
Job Provide real approarch to the Real Estate business for buyers and sellers
Industry Real Estate
Experience
Allison James Estates and Homes July 2015 - Present
Self December 2004 - Present
Joseph Donnantuoni 2005 - 2015
Vanguard Capital July 1998 - December 2010
Wyse Securities a Division of Pyramid Financial September 1996 - December 1997
The Heritage Group July 1996 - September 1997
NASD now FINRA, Compliance Examiner of Firms July 1990 - July 1995
NASD September 1986 - July 1995
Skills
Insurance, Management, Marketing, Retirement Planning, Financial Services, Investments, Finance, Customer Service, Life Insurance, Start-ups, Real Estate License
Education
Stony Brook University 1983 — 1985
Bachelor of Arts (B.A.), Economics, 3.2
Stony Brook University 1983 — 1985
Bachelor's degree, Economics, 3.2
LIU CW POST Center 1978 — 1980
60 credits, Finance Major, Dean's List
Allison James Estates and Homes July 2015 - Present
Self December 2004 - Present
Joseph Donnantuoni 2005 - 2015
Vanguard Capital July 1998 - December 2010
Wyse Securities a Division of Pyramid Financial September 1996 - December 1997
The Heritage Group July 1996 - September 1997
NASD now FINRA, Compliance Examiner of Firms July 1990 - July 1995
NASD September 1986 - July 1995
Skills
Insurance, Management, Marketing, Retirement Planning, Financial Services, Investments, Finance, Customer Service, Life Insurance, Start-ups, Real Estate License
Education
Stony Brook University 1983 — 1985
Bachelor of Arts (B.A.), Economics, 3.2
Stony Brook University 1983 — 1985
Bachelor's degree, Economics, 3.2
LIU CW POST Center 1978 — 1980
60 credits, Finance Major, Dean's List
Tigran Khrimian Tigran Khrimian's NASD Experience December 2004 - January 2008
Job Vice President, Data Platforms
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Financial Industry Regulatory Authority June 2008 - Present
NASD December 2004 - January 2008
Chessiecap, Inc. June 2003 - December 2004
The Adrenaline Group 2000 - 2003
IBM June 1997 - January 2000
Skills
Architecture, Enterprise Architecture, Strategic Planning, Scalability, IT Transformation, Cloud Computing
Education
The Johns Hopkins University
MS, Computer Science
University of Maryland College Park
BS, Computer Science
Financial Industry Regulatory Authority (FINRA) February 2015 - Present
Financial Industry Regulatory Authority June 2008 - Present
NASD December 2004 - January 2008
Chessiecap, Inc. June 2003 - December 2004
The Adrenaline Group 2000 - 2003
IBM June 1997 - January 2000
Skills
Architecture, Enterprise Architecture, Strategic Planning, Scalability, IT Transformation, Cloud Computing
Education
The Johns Hopkins University
MS, Computer Science
University of Maryland College Park
BS, Computer Science
William Chip Ledford William Chip Ledford's NASD Experience 1993 - 1995
Job Executive Director, Identity and Access Management Technology, Morgan Stanley
Industry Information Technology and Services
Experience
Morgan Stanley January 2015 - Present
Morgan Stanley July 2014 - Present
Morgan Stanley January 2014 - Present
Morgan Stanley January 2010 - December 2013
Morgan Stanley March 2010 - June 2012
Morgan Stanley February 2002 - January 2009
Sarsen Consulting February 1996 - January 2002
Citigroup 1998 - 2000
NASD 1993 - 1995
Birch & Davis Associates, Inc. 1991 - 1993
Skills
Project Management, Strategy, CRM, SDLC, System Deployment, IT Strategy, PMO, Vendor Management, Management Consulting, Enterprise Architecture, Management, Professional Services, Leadership, Program Management, Training, Team Building, High Performance..., Business Analysis, Enterprise Software, Integration, Cross-functional Team..., IT Management, MBA, Business Process..., Information Technology, PMP, Project Portfolio..., Risk Management, Software Project..., Information Security..., Information Security, Project Delivery, Business Process
Education
University of Maryland College Park 1994 — 1996
MBA, Business
University of Maryland College Park 1982 — 1989
BS, Computer Science
Morgan Stanley January 2015 - Present
Morgan Stanley July 2014 - Present
Morgan Stanley January 2014 - Present
Morgan Stanley January 2010 - December 2013
Morgan Stanley March 2010 - June 2012
Morgan Stanley February 2002 - January 2009
Sarsen Consulting February 1996 - January 2002
Citigroup 1998 - 2000
NASD 1993 - 1995
Birch & Davis Associates, Inc. 1991 - 1993
Skills
Project Management, Strategy, CRM, SDLC, System Deployment, IT Strategy, PMO, Vendor Management, Management Consulting, Enterprise Architecture, Management, Professional Services, Leadership, Program Management, Training, Team Building, High Performance..., Business Analysis, Enterprise Software, Integration, Cross-functional Team..., IT Management, MBA, Business Process..., Information Technology, PMP, Project Portfolio..., Risk Management, Software Project..., Information Security..., Information Security, Project Delivery, Business Process
Education
University of Maryland College Park 1994 — 1996
MBA, Business
University of Maryland College Park 1982 — 1989
BS, Computer Science
Cheri Luff, CISP Cheri Luff, CISP's NASD Experience 1993 - 2011
Job Trust Officer & Investment Representative at Union Bank & Trust
Industry Banking
Experience
Union Bank & Trust September 1996 - Present
NASD 1993 - 2011
NASD 1992 - 2011
Ameritas 1988 - September 1996
Richman Gordman 1982 - 1994
Skills
Retirment Planning &..., Self Directed IRAs &..., Accounting, Estate Planning, Series 7, IRAs, Investments, Variable Annuities
Education
American Bankers Association 2014 — 2014
Graduate, National Trust School
University of Nebraska-Lincoln 1981 — 1986
BA, Psychology/Socialogy
The Institute of Certified Bankers
Certified IRA Services Professional
Union Bank & Trust September 1996 - Present
NASD 1993 - 2011
NASD 1992 - 2011
Ameritas 1988 - September 1996
Richman Gordman 1982 - 1994
Skills
Retirment Planning &..., Self Directed IRAs &..., Accounting, Estate Planning, Series 7, IRAs, Investments, Variable Annuities
Education
American Bankers Association 2014 — 2014
Graduate, National Trust School
University of Nebraska-Lincoln 1981 — 1986
BA, Psychology/Socialogy
The Institute of Certified Bankers
Certified IRA Services Professional
David Kosc David Kosc's NASD Experience January 2001 - April 2004
Job Compliance Manager Calvert Funds
Industry Capital Markets
Experience
Calvert Investments January 2008 - August 2015
FINRA October 2005 - January 2008
FINRA April 2004 - October 2005
NASD January 2001 - April 2004
Skills
Fixed Income, Securities, Compliance, FINRA, Mutual Funds, Risk Assessment, Microsoft Office, Bloomberg, Excel, Risk Management, Equities, Series 24, Analysis, Trading, SEC, Investments, Financial Services
Education
University of Maryland College Park 1998 — 2000
Bachelor of Science, Finance
Calvert Investments January 2008 - August 2015
FINRA October 2005 - January 2008
FINRA April 2004 - October 2005
NASD January 2001 - April 2004
Skills
Fixed Income, Securities, Compliance, FINRA, Mutual Funds, Risk Assessment, Microsoft Office, Bloomberg, Excel, Risk Management, Equities, Series 24, Analysis, Trading, SEC, Investments, Financial Services
Education
University of Maryland College Park 1998 — 2000
Bachelor of Science, Finance
Jim Dickey Jim Dickey's NASD Experience May 1991 - August 1996
Job Enterprise VMware VSM System Administrator
Industry Information Services
Experience
Northrop Grumman Corporation October 1997 - Present
Computer Sciences Corporation August 1996 - October 1997
NASD May 1991 - August 1996
May Department Stores August 1988 - May 1991
Telenet June 1987 - August 1988
Westinghouse Electric Company August 1984 - June 1987
Skills
Software Development, SharePoint, Enterprise Software, Requirements Analysis, Vendor Management, Oracle, IT Management, Integration, IT Strategy, SDLC, Change Management, PMP, .NET, Software Project..., JavaScript, Process Improvement, Team Building, CMMI, Program Management, CSS, Management, Enterprise Architecture, VMware Service Manager..., IT Asset Management, Requirements Management, Resource Management, Strategic Planning, IT Service Management, IT Governance, Project Planning, Application Development, Photoshop, DHTML
Education
University of Pittsburgh
BS
Northrop Grumman Corporation October 1997 - Present
Computer Sciences Corporation August 1996 - October 1997
NASD May 1991 - August 1996
May Department Stores August 1988 - May 1991
Telenet June 1987 - August 1988
Westinghouse Electric Company August 1984 - June 1987
Skills
Software Development, SharePoint, Enterprise Software, Requirements Analysis, Vendor Management, Oracle, IT Management, Integration, IT Strategy, SDLC, Change Management, PMP, .NET, Software Project..., JavaScript, Process Improvement, Team Building, CMMI, Program Management, CSS, Management, Enterprise Architecture, VMware Service Manager..., IT Asset Management, Requirements Management, Resource Management, Strategic Planning, IT Service Management, IT Governance, Project Planning, Application Development, Photoshop, DHTML
Education
University of Pittsburgh
BS
Arlene Wilson Arlene Wilson's NASD Experience September 1983 - August 1986
Job Consultant at Capital Forensics, Inc
Industry Financial Services
Experience
Capital Forensics, Inc February 2015 - Present
Compliance Professional September 2013 - Present
D.A. Davidson & Co. October 2012 - September 2013
FINRA 2000 - 2013
D.A. Davidson & Co. June 1998 - September 2012
OppenheimerFunds 1997 - 1998
RAF Financial Corp 1986 - 1996
NASD September 1983 - August 1986
Skills
FINRA, Securities, Series 7, Capital Markets, Securities Regulation, Series 24, Finance, Due Diligence, Mutual Funds, AML, Equities, Hedge Funds, Investment Advisory, Financial Services, Financial Analysis, Series 63, Risk Management
Education
The University of Montana - School of Business Administration 1979 — 1981
BS, Accounting
Capital Forensics, Inc February 2015 - Present
Compliance Professional September 2013 - Present
D.A. Davidson & Co. October 2012 - September 2013
FINRA 2000 - 2013
D.A. Davidson & Co. June 1998 - September 2012
OppenheimerFunds 1997 - 1998
RAF Financial Corp 1986 - 1996
NASD September 1983 - August 1986
Skills
FINRA, Securities, Series 7, Capital Markets, Securities Regulation, Series 24, Finance, Due Diligence, Mutual Funds, AML, Equities, Hedge Funds, Investment Advisory, Financial Services, Financial Analysis, Series 63, Risk Management
Education
The University of Montana - School of Business Administration 1979 — 1981
BS, Accounting
Paul Hyland Paul Hyland's NASD Experience November 2003 - October 2004
Job Chief Technology Officer, Digital Operations at Education Week (news media web tech manager)
Industry Internet
Experience
Editorial Projects in Education February 2009 - Present
Association for Computing Machinery (ACM) 2008 - Present
Editorial Projects in Education May 2005 - April 2009
Computer Professionals for Social Responsibility (CPSR) August 2002 - June 2006
Media Matters for America October 2004 - April 2005
NASD November 2003 - October 2004
DC Government January 2003 - August 2003
The Adrenaline Group April 2000 - April 2002
Exit1 Incorporated July 1999 - April 2000
Cambridge Associates July 1997 - July 1999
Skills
Information Architecture, Social Networking, Web Analytics, CMS, Web Development, Usability, IT Strategy, User Interface, Technology Management, Social Media, Digital Strategy, Web Content Management, Social Media Marketing, Software Development, HTML, Project Management, Blogging, Strategy, User Experience, Management, User Interface Design, Leadership, E-commerce, Consulting
Education
The George Washington University 1990 — 1993
M.A., Science, Technology and Public Policy
Yale University 1978 — 1984
B.S., Electrical Engineering
Allen High School 1975 — 1978
diploma
Editorial Projects in Education February 2009 - Present
Association for Computing Machinery (ACM) 2008 - Present
Editorial Projects in Education May 2005 - April 2009
Computer Professionals for Social Responsibility (CPSR) August 2002 - June 2006
Media Matters for America October 2004 - April 2005
NASD November 2003 - October 2004
DC Government January 2003 - August 2003
The Adrenaline Group April 2000 - April 2002
Exit1 Incorporated July 1999 - April 2000
Cambridge Associates July 1997 - July 1999
Skills
Information Architecture, Social Networking, Web Analytics, CMS, Web Development, Usability, IT Strategy, User Interface, Technology Management, Social Media, Digital Strategy, Web Content Management, Social Media Marketing, Software Development, HTML, Project Management, Blogging, Strategy, User Experience, Management, User Interface Design, Leadership, E-commerce, Consulting
Education
The George Washington University 1990 — 1993
M.A., Science, Technology and Public Policy
Yale University 1978 — 1984
B.S., Electrical Engineering
Allen High School 1975 — 1978
diploma
Matt Lundy Matt Lundy's NASD Experience 1996 - 1997
Job VP Sales & Marketing
Industry Marketing and Advertising
Experience
REI Promos August 2002 - Present
Spectacular Sports 1997 - 2002
NASD 1996 - 1997
Skills
Advertising, Sales, Sales Management, Public Speaking, Team Building, Budgets, Marketing, Strategic Planning, Business Development, New Business Development, Event Planning, Social Media Marketing, Account Management, Program Management, Leadership, Entrepreneurship, Direct Sales, Social Networking, Time Management, CRM, Marketing Strategy, Small Business, Start-ups, Customer Service, Email Marketing, Strategic Partnerships, Strategy, Online Advertising
Education
Saint John's University - Peter J. Tobin College of Business 1986 — 1989
Bachelor of Science (BS), Finance, General
Chaminade High School 1980 — 1984
REI Promos August 2002 - Present
Spectacular Sports 1997 - 2002
NASD 1996 - 1997
Skills
Advertising, Sales, Sales Management, Public Speaking, Team Building, Budgets, Marketing, Strategic Planning, Business Development, New Business Development, Event Planning, Social Media Marketing, Account Management, Program Management, Leadership, Entrepreneurship, Direct Sales, Social Networking, Time Management, CRM, Marketing Strategy, Small Business, Start-ups, Customer Service, Email Marketing, Strategic Partnerships, Strategy, Online Advertising
Education
Saint John's University - Peter J. Tobin College of Business 1986 — 1989
Bachelor of Science (BS), Finance, General
Chaminade High School 1980 — 1984
Christopher Eastman, PMP's NASD Experience 2004 - 2007
Job Program Manager for multicompany team at DOE
Industry Information Technology and Services
Experience
CRI Advantage 2014 - Present
Entrusted Partners (inactive) 2002 - Present
Business Intelligence 2011 - 2013
ICF International 2009 - 2011
NASD 2004 - 2007
MeriStar Hotels and Resorts 1999 - 2002
Virtualogic 1996 - 1999
Shoppers Express 1995 - 1996
Sybase Professional Services 1990 - 1995
Skills
Enterprise Architecture, PMP, Business Development, Management, Negotiation, PMO, Project Management, Program Management, IT systems development, Software Project..., Databases, Cloud Computing, Change Management, Integration, Strategy, Process Improvement, Business Process..., Governance, Risk Management, IT Strategy, Business Analysis, Data Modeling, SDLC, Business Process, Data Warehousing, Vendor Management, Business Intelligence, Requirements Analysis, Leadership, Software Development, Database Design, Budgets, IT Management, Telecommunications, Management Consulting, ITIL, SOA, Mergers, Enterprise Software, Project Portfolio..., Architecture, Solution Architecture, Information Technology, Consulting, Professional Services, Cross-functional Team..., Healthcare Information..., Hospitality Management, Hospitality Industry, SaaS
Education
University of Maryland University College 2007 — 2007
Federal CIO Certification, Information Technology
University of Maryland University College 2005 — 2007
MS Information Technology Management, Graduate School of Management and Technology
Virginia Polytechnic Institute and State University - Pamplin College of Business 1981 — 1985
BS Management Science / Decision Support Systems, Business
CRI Advantage 2014 - Present
Entrusted Partners (inactive) 2002 - Present
Business Intelligence 2011 - 2013
ICF International 2009 - 2011
NASD 2004 - 2007
MeriStar Hotels and Resorts 1999 - 2002
Virtualogic 1996 - 1999
Shoppers Express 1995 - 1996
Sybase Professional Services 1990 - 1995
Skills
Enterprise Architecture, PMP, Business Development, Management, Negotiation, PMO, Project Management, Program Management, IT systems development, Software Project..., Databases, Cloud Computing, Change Management, Integration, Strategy, Process Improvement, Business Process..., Governance, Risk Management, IT Strategy, Business Analysis, Data Modeling, SDLC, Business Process, Data Warehousing, Vendor Management, Business Intelligence, Requirements Analysis, Leadership, Software Development, Database Design, Budgets, IT Management, Telecommunications, Management Consulting, ITIL, SOA, Mergers, Enterprise Software, Project Portfolio..., Architecture, Solution Architecture, Information Technology, Consulting, Professional Services, Cross-functional Team..., Healthcare Information..., Hospitality Management, Hospitality Industry, SaaS
Education
University of Maryland University College 2007 — 2007
Federal CIO Certification, Information Technology
University of Maryland University College 2005 — 2007
MS Information Technology Management, Graduate School of Management and Technology
Virginia Polytechnic Institute and State University - Pamplin College of Business 1981 — 1985
BS Management Science / Decision Support Systems, Business
Michelle Goldfarb's NASD Experience October 2003 - October 2005
Job
Industry Financial Services
Experience
HighMark Capital Management February 2015 - Present
CounselWorks LLC November 2013 - February 2015
Charles Schwab March 2012 - November 2013
Charles Schwab March 2008 - March 2012
Charles Schwab November 2005 - February 2008
NASD October 2003 - October 2005
Charles Schwab October 2000 - October 2003
Novogradac & Company LLP January 2000 - October 2000
Education
San Francisco State University 2008 — 2010
MBA
University of San Francisco 1995 — 1999
BSBA
HighMark Capital Management February 2015 - Present
CounselWorks LLC November 2013 - February 2015
Charles Schwab March 2012 - November 2013
Charles Schwab March 2008 - March 2012
Charles Schwab November 2005 - February 2008
NASD October 2003 - October 2005
Charles Schwab October 2000 - October 2003
Novogradac & Company LLP January 2000 - October 2000
Education
San Francisco State University 2008 — 2010
MBA
University of San Francisco 1995 — 1999
BSBA
George Waghorn's NASD Experience October 1998 - December 1999
Job Vice President IT Infrastructure Management at Capital District Physicians Health Plan
Industry Insurance
Experience
Capital District Physicians Health Plan (CDPHP) February 2013 - Present
XL Capital / XL America August 2009 - 2013
Dun & Bradstreet November 2008 - July 2009
XL Capital / XL Global Services May 2007 - November 2008
American Stock Exchange February 2005 - May 2007
SIAC January 2002 - February 2005
American Stock Exchange January 2000 - December 2001
NASD October 1998 - December 1999
Bankers Trust Co. October 1997 - October 1998
SIAC January 1990 - October 1997
Skills
Project Planning, Operations Management, Analysis, Information Systems, Strategies, Organization, Cost Accounting, Vendor Management, Data Center, Business Continuity, Program Management, Project Management, IT Strategy, Access, Change Management, Disaster Recovery, PMO, Outsourcing, Management, Risk Management, Cloud Computing, Software Development, ITIL, SDLC, Business Analysis, IT Operations, Infrastructure, Information Technology, Leadership, IT Management, Information Security, Networking, PMP, Enterprise Architecture, Service Management
Education
The Catholic University of America
BA, Psychology
Capital District Physicians Health Plan (CDPHP) February 2013 - Present
XL Capital / XL America August 2009 - 2013
Dun & Bradstreet November 2008 - July 2009
XL Capital / XL Global Services May 2007 - November 2008
American Stock Exchange February 2005 - May 2007
SIAC January 2002 - February 2005
American Stock Exchange January 2000 - December 2001
NASD October 1998 - December 1999
Bankers Trust Co. October 1997 - October 1998
SIAC January 1990 - October 1997
Skills
Project Planning, Operations Management, Analysis, Information Systems, Strategies, Organization, Cost Accounting, Vendor Management, Data Center, Business Continuity, Program Management, Project Management, IT Strategy, Access, Change Management, Disaster Recovery, PMO, Outsourcing, Management, Risk Management, Cloud Computing, Software Development, ITIL, SDLC, Business Analysis, IT Operations, Infrastructure, Information Technology, Leadership, IT Management, Information Security, Networking, PMP, Enterprise Architecture, Service Management
Education
The Catholic University of America
BA, Psychology
Robert Dasher,PMP's NASD Experience 1993 - 1999
Job Quality Manager at Vistronix
Industry Computer Software
Laura Fell's NASD Experience May 2005 - January 2006
Job Manager, Talent Aquisition and University Relations at Victaulic
Industry Mechanical or Industrial Engineering
Experience
Victaulic August 2013 - Present
Victaulic January 2011 - July 2013
Victaulic October 2010 - December 2010
Victaulic February 2006 - September 2010
NASD May 2005 - January 2006
Skills
Applicant Tracking..., Employee Relations, Training, Human Resources, Recruiting, Negotiation, HRIS, Employee Benefits, Sales Management, Project Management, Engineering, Management, Payroll, Personnel Management, Sourcing, Program Management, Talent Acquisition, Time Management, College Recruiting, Talent Management
Education
Temple University - Fox School of Business and Management 2000 — 2004
Human Resource Management
Safety Training
Certifications
AIRS, Certified Internet Recruiter
Victaulic August 2013 - Present
Victaulic January 2011 - July 2013
Victaulic October 2010 - December 2010
Victaulic February 2006 - September 2010
NASD May 2005 - January 2006
Skills
Applicant Tracking..., Employee Relations, Training, Human Resources, Recruiting, Negotiation, HRIS, Employee Benefits, Sales Management, Project Management, Engineering, Management, Payroll, Personnel Management, Sourcing, Program Management, Talent Acquisition, Time Management, College Recruiting, Talent Management
Education
Temple University - Fox School of Business and Management 2000 — 2004
Human Resource Management
Safety Training
Certifications
AIRS, Certified Internet Recruiter
Raphael Duran's NASD Experience June 2004 - July 2006
Job Associate, Marshall, Dennehey, Warner, Coleman & Goggin
Industry Law Practice
Experience
Marshall, Dennehey, Warner, Coleman & Goggin February 2011 - Present
The Law Offices of David M. Barry February 2009 - January 2011
U.S. Department of Justice November 2009 - May 2010
Camden County Prosecutor's Office May 2009 - August 2009
Commonwealth Court of Pennsylania May 2008 - August 2008
Jones Day June 2006 - August 2007
NASD June 2004 - July 2006
Skills
Insurance, Litigation, Legal Assistance, Appeals, Legal Research, Mediation, Contract Negotiation, Family Law, Civil Litigation, Legal Writing, Competition Law, Class Actions, Medical Malpractice, Legal Issues, Employment Law, Trial Practice, Hearings, Depositions, LexisNexis, Torts, Administrative Law, Public Speaking
Education
Drexel University School of Law 2008 — 2010
Juris Doctor, Business & Entrepreneurship Law
University of Pittsburgh 1998 — 2002
Bachelor of Arts, Political Science, Communications Rhetoric
Marshall, Dennehey, Warner, Coleman & Goggin February 2011 - Present
The Law Offices of David M. Barry February 2009 - January 2011
U.S. Department of Justice November 2009 - May 2010
Camden County Prosecutor's Office May 2009 - August 2009
Commonwealth Court of Pennsylania May 2008 - August 2008
Jones Day June 2006 - August 2007
NASD June 2004 - July 2006
Skills
Insurance, Litigation, Legal Assistance, Appeals, Legal Research, Mediation, Contract Negotiation, Family Law, Civil Litigation, Legal Writing, Competition Law, Class Actions, Medical Malpractice, Legal Issues, Employment Law, Trial Practice, Hearings, Depositions, LexisNexis, Torts, Administrative Law, Public Speaking
Education
Drexel University School of Law 2008 — 2010
Juris Doctor, Business & Entrepreneurship Law
University of Pittsburgh 1998 — 2002
Bachelor of Arts, Political Science, Communications Rhetoric
Wanda Dumas, HRIP's NASD Experience April 1997 - April 2001
Job HRIS Administrator at WilmerHale
Industry Financial Services
Experience
WilmerHale April 2008 - Present
Unisys January 2008 - April 2008
Holy Cross Hospital December 2003 - January 2008
Allegis Group April 2001 - September 2003
NASD April 1997 - April 2001
Skills
PeopleSoft, HRIS, Benefits Administration, Business Analysis, Kronos, Requirements Analysis, Onboarding, Analysis, Applicant Tracking..., Employee Relations, Talent Management, Human Resources, Management
Education
University of Maryland University College
B.S., Business Management
WilmerHale April 2008 - Present
Unisys January 2008 - April 2008
Holy Cross Hospital December 2003 - January 2008
Allegis Group April 2001 - September 2003
NASD April 1997 - April 2001
Skills
PeopleSoft, HRIS, Benefits Administration, Business Analysis, Kronos, Requirements Analysis, Onboarding, Analysis, Applicant Tracking..., Employee Relations, Talent Management, Human Resources, Management
Education
University of Maryland University College
B.S., Business Management
Shivansh Goel's NASD Experience 2000 - 2007
Job Information Specialist at EDS
Industry Information Technology and Services
Bryan Weaver's NASD Experience 2004 - 2005
Job Sr. Legal Counsel at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments September 2012 - Present
Cole Real Estate Investments April 2008 - September 2012
Financial Registrations, Inc. October 2005 - April 2008
NASD 2004 - 2005
Emap 1999 - 2001
Skills
Securities, FINRA, Due Diligence, Series 7, Investments, Securities Regulation, Series 24, Corporate Governance, Risk Management
Education
Villanova University School of Law 2001 — 2004
JD, Law
University of Southern California 1997 — 2001
BA, Political Science
Fidelity Investments September 2012 - Present
Cole Real Estate Investments April 2008 - September 2012
Financial Registrations, Inc. October 2005 - April 2008
NASD 2004 - 2005
Emap 1999 - 2001
Skills
Securities, FINRA, Due Diligence, Series 7, Investments, Securities Regulation, Series 24, Corporate Governance, Risk Management
Education
Villanova University School of Law 2001 — 2004
JD, Law
University of Southern California 1997 — 2001
BA, Political Science
Bert Savage - take stress out of financial distress!'s NASD Experience 1987 - 1989
Job Bert Savage Ask the Professor!
Industry Law Practice
Experience
Savage, Combs & Villoch, PLLC August 2014 - Present
Western Michigan University Cooley Law School July 2013 - Present
MercuryServe, Inc. January 2002 - Present
The Savage Law Firm, P.A. September 2002 - August 2014
Florida International University College of Law July 2010 - July 2013
Bricklemyer 2008 - 2010
GA Financial March 1997 - September 2002
United Resources Group May 1993 - August 1995
NASD 1987 - 1989
Skills
Securities, Negotiation, Courts, Arbitration, Commercial Litigation, Alternative Dispute..., Litigation, Business Dev, Civil Litigation, Legal Writing, Corporate Law, Mediation, Mergers & Acquisitions, Teaching, Business Development, Sailing, Dispute Resolution, Music, Due Diligence, Legal Research, Litigation Support, Legal Issues, Bankruptcy
Education
University of Florida - Fredric G. Levin College of Law 1990 — 1993
JD/MBA, Law and Business
University of Florida - Warrington College of Business Administration 1990 — 1993
MBA, Joint Degree with JD
St. Rose High School 1979 — 1983
High School
Savage, Combs & Villoch, PLLC August 2014 - Present
Western Michigan University Cooley Law School July 2013 - Present
MercuryServe, Inc. January 2002 - Present
The Savage Law Firm, P.A. September 2002 - August 2014
Florida International University College of Law July 2010 - July 2013
Bricklemyer 2008 - 2010
GA Financial March 1997 - September 2002
United Resources Group May 1993 - August 1995
NASD 1987 - 1989
Skills
Securities, Negotiation, Courts, Arbitration, Commercial Litigation, Alternative Dispute..., Litigation, Business Dev, Civil Litigation, Legal Writing, Corporate Law, Mediation, Mergers & Acquisitions, Teaching, Business Development, Sailing, Dispute Resolution, Music, Due Diligence, Legal Research, Litigation Support, Legal Issues, Bankruptcy
Education
University of Florida - Fredric G. Levin College of Law 1990 — 1993
JD/MBA, Law and Business
University of Florida - Warrington College of Business Administration 1990 — 1993
MBA, Joint Degree with JD
St. Rose High School 1979 — 1983
High School
Lina Naik's NASD Experience 2006 - 2006
Job Attorney Advisor at Federal Energy Regulatory Commission
Industry Law Practice
Experience
Federal Energy Regulatory Commission December 2008 - Present
Federal Energy Regulatory Commission September 2008 - December 2008
U.S. Securities & Exchange Commission 2007 - 2007
NASD 2006 - 2006
West Financial Services 2004 - 2005
Capitol Securities Management, Inc. 2001 - 2004
Skills
Legal Writing, Administrative Law, Legal Research, Energy, Research, Energy Law, Energy Policy, Energy Markets, Appeals, Electric Power
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
J.D., Securities & Corporate Law Concentration
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1996 — 2000
BSBA, Business, Chemistry Minor
Federal Energy Regulatory Commission December 2008 - Present
Federal Energy Regulatory Commission September 2008 - December 2008
U.S. Securities & Exchange Commission 2007 - 2007
NASD 2006 - 2006
West Financial Services 2004 - 2005
Capitol Securities Management, Inc. 2001 - 2004
Skills
Legal Writing, Administrative Law, Legal Research, Energy, Research, Energy Law, Energy Policy, Energy Markets, Appeals, Electric Power
Education
The Catholic University of America, Columbus School of Law 2005 — 2008
J.D., Securities & Corporate Law Concentration
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 1996 — 2000
BSBA, Business, Chemistry Minor
Larry Levey's NASD Experience April 2001 - Present
Job Arbitrator at NASD
Industry Financial Services
Experience
NASD April 2001 - Present
Owens-Illinois April 1975 - September 2000
Education
University of Pennsylvania 1951 — 1954
NASD April 2001 - Present
Owens-Illinois April 1975 - September 2000
Education
University of Pennsylvania 1951 — 1954
Houtan Jalili's NASD Experience March 2004 - August 2006
Job Vice President at Banc of America Securities
Industry Financial Services
Experience
Bank of America August 2006 - Present
NASD March 2004 - August 2006
DPM Mellon June 2003 - March 2004
Datek Online 2001 - 2002
Education
Rutgers University-New Brunswick 1992 — 2000
Bank of America August 2006 - Present
NASD March 2004 - August 2006
DPM Mellon June 2003 - March 2004
Datek Online 2001 - 2002
Education
Rutgers University-New Brunswick 1992 — 2000
Dallas Mossman's NASD Experience 1989 - 1999
Job IT Specialist at US Government
Industry Information Technology and Services
Experience
US Government September 2010 - Present
Base Technologies Inc. February 2009 - September 2010
Sapphire Technologies May 2008 - January 2009
NASDAQ Stock Market 1999 - 2007
NASD 1989 - 1999
The National Association of Securities Dealers 1989 - 1999
FINRA (Formerly NASD) 1989 - 1999
Hertz 1987 - 1989
Skills
ITIL, Disaster Recovery, SQL, System Administration, Data Center, Linux, Customer Relations, Unix, Testing, Strategic Planning, Storage, C
Education
Saginaw Valley State University 1980 — 1985
BS, Computer Science
US Government September 2010 - Present
Base Technologies Inc. February 2009 - September 2010
Sapphire Technologies May 2008 - January 2009
NASDAQ Stock Market 1999 - 2007
NASD 1989 - 1999
The National Association of Securities Dealers 1989 - 1999
FINRA (Formerly NASD) 1989 - 1999
Hertz 1987 - 1989
Skills
ITIL, Disaster Recovery, SQL, System Administration, Data Center, Linux, Customer Relations, Unix, Testing, Strategic Planning, Storage, C
Education
Saginaw Valley State University 1980 — 1985
BS, Computer Science
Lyle King's NASD Experience February 2005 - May 2007
Job TMMS examination manager
Industry Financial Services
Experience
FINRA May 2008 - Present
Lehman Brothers April 2007 - April 2008
NASD February 2005 - May 2007
G & D Trading January 1996 - February 2005
Education
University of Michigan 1987 — 1992
Mechanical Engineering
FINRA May 2008 - Present
Lehman Brothers April 2007 - April 2008
NASD February 2005 - May 2007
G & D Trading January 1996 - February 2005
Education
University of Michigan 1987 — 1992
Mechanical Engineering
Ramona Ahmed's NASD Experience 2004 - 2007
Job Assistant Vice President at Jefferies & Company
Industry Financial Services
Experience
Jefferies & Company August 2009 - Present
Calyon Securities July 2007 - December 2008
NASD 2004 - 2007
UBS Financial Services Inc. October 2002 - June 2004
Education
University of Maryland College Park 1996 — 2001
John F. Kennedy High School
Jefferies & Company August 2009 - Present
Calyon Securities July 2007 - December 2008
NASD 2004 - 2007
UBS Financial Services Inc. October 2002 - June 2004
Education
University of Maryland College Park 1996 — 2001
John F. Kennedy High School
Saloni Sonpal's NASD Experience June 2005 - September 2005
Job Software Engineer II at Microsoft
Industry Computer Software
Experience
Microsoft September 2014 - Present
Microsoft March 2007 - September 2014
Idearc October 2006 - February 2007
Verizon June 2006 - September 2006
NASD June 2005 - September 2005
Skills
SQL Azure, Microsoft SQL Server, Software Development, Product Development, Cross-team Collaboration, Agile Methodologies, Requirements Analysis, Functional..., Project Management, Project Planning, Software Engineering, Software Design, Data Analysis, Marketing Strategy, Pricing Strategy, Scalability, Distributed Systems, Object Oriented Design, Algorithms, Test Automation, SQL, C#, C++, Java, Perl, Scrum, Visual Studio, Windows Azure
Education
University of Washington, Michael G. Foster School of Business 2011 — 2014
Master of Business Administration (MBA), Product Management and Marketing
State University of New York at Buffalo 2004 — 2006
M. S., Computer Science
University of Mumbai 2000 — 2004
B. E., Information Technology
Microsoft September 2014 - Present
Microsoft March 2007 - September 2014
Idearc October 2006 - February 2007
Verizon June 2006 - September 2006
NASD June 2005 - September 2005
Skills
SQL Azure, Microsoft SQL Server, Software Development, Product Development, Cross-team Collaboration, Agile Methodologies, Requirements Analysis, Functional..., Project Management, Project Planning, Software Engineering, Software Design, Data Analysis, Marketing Strategy, Pricing Strategy, Scalability, Distributed Systems, Object Oriented Design, Algorithms, Test Automation, SQL, C#, C++, Java, Perl, Scrum, Visual Studio, Windows Azure
Education
University of Washington, Michael G. Foster School of Business 2011 — 2014
Master of Business Administration (MBA), Product Management and Marketing
State University of New York at Buffalo 2004 — 2006
M. S., Computer Science
University of Mumbai 2000 — 2004
B. E., Information Technology
Julie Dahlen's NASD Experience 1989 - 1998
Job Business Operations Manager, HewlettPackard
Industry Financial Services
Experience
Hewlett-Packard July 1999 - Present
NASD 1989 - 1998
Contel Corporation 1987 - 1989
Skills
Process Improvement, Configuration Management, Program Management, Project Management, SDLC, Vendor Management, Change Management, Business Process, Requirements Analysis, IT Strategy, Risk Management, Leadership, Strategic Planning, Software Development, Management, Team Management, Business Analysis, Integration
Education
University of Maryland University College 1990 — 1993
MS, Computer Systems Management
Towson University 1982 — 1986
BS, Computer Science, Math
Hewlett-Packard July 1999 - Present
NASD 1989 - 1998
Contel Corporation 1987 - 1989
Skills
Process Improvement, Configuration Management, Program Management, Project Management, SDLC, Vendor Management, Change Management, Business Process, Requirements Analysis, IT Strategy, Risk Management, Leadership, Strategic Planning, Software Development, Management, Team Management, Business Analysis, Integration
Education
University of Maryland University College 1990 — 1993
MS, Computer Systems Management
Towson University 1982 — 1986
BS, Computer Science, Math
Mary Revell's NASD Experience 1996 - 1999
Job Member of the Board at Adkins Arboretum
Industry Financial Services
Experience
Adkins Arboretum 2014 - Present
ASECA November 2012 - October 2013
MR Consulting, LLC January 2010 - October 2013
The NASDAQ Stock Market LLC October 2000 - December 2009
The NASDAQ Stock Market December 1999 - October 2000
FINRA February 1996 - December 1999
NASD 1996 - 1999
Commodity Futures Trading Commission 1994 - 1996
Debevoise & Plimpton 1993 - 1994
Securities and Exchange Commission 1992 - 1993
Skills
Securities, FINRA, Securities Market, Capital Markets, Equities, Securities Regulation, Options, Financial Markets, Mutual Funds, Due Diligence, Investment Advisory, Broker-Dealer, Equity Trading, Series 7, Hedge Funds, Series 24, ETFs
Education
University of Pittsburgh School of Law 1975 — 1978
Doctor of Law (JD)
University of Vermont 1973 — 1975
BA, English Language and Literature, General
Adkins Arboretum 2014 - Present
ASECA November 2012 - October 2013
MR Consulting, LLC January 2010 - October 2013
The NASDAQ Stock Market LLC October 2000 - December 2009
The NASDAQ Stock Market December 1999 - October 2000
FINRA February 1996 - December 1999
NASD 1996 - 1999
Commodity Futures Trading Commission 1994 - 1996
Debevoise & Plimpton 1993 - 1994
Securities and Exchange Commission 1992 - 1993
Skills
Securities, FINRA, Securities Market, Capital Markets, Equities, Securities Regulation, Options, Financial Markets, Mutual Funds, Due Diligence, Investment Advisory, Broker-Dealer, Equity Trading, Series 7, Hedge Funds, Series 24, ETFs
Education
University of Pittsburgh School of Law 1975 — 1978
Doctor of Law (JD)
University of Vermont 1973 — 1975
BA, English Language and Literature, General
Brian Epstein's NASD Experience January 2000 - August 2001
Job Director, Compensation at W.R. Grace
Industry Chemicals
Experience
W.R. Grace April 2014 - Present
W.R. Grace March 2011 - March 2014
ISS Institutional Shareholder Services April 2009 - March 2011
Host Hotels & Resorts May 2008 - April 2009
ISS Institutional Shareholder Services June 2007 - May 2008
ISS Institutional Shareholder Services May 2005 - May 2007
NASDAQ August 2001 - May 2005
NASD January 2000 - August 2001
NASD (now FINRA - Financial Investment Regulatory Authority) 2000 - 2001
Lockheed Martin September 1995 - January 2000
Skills
Performance Management, Human Resources, Market Pricing, Executive Pay, HRIS, Deferred Compensation, Talent Management, Mergers, Employee Relations, Employee Benefits, Talent Acquisition, Onboarding, Benefits Administration, Succession Planning, Process Improvement
Education
The Johns Hopkins University 1997 — 2001
MS, Applied Behavioral Science
University of Maryland College Park 1991 — 1995
BS, Business/Human Resources
W.R. Grace April 2014 - Present
W.R. Grace March 2011 - March 2014
ISS Institutional Shareholder Services April 2009 - March 2011
Host Hotels & Resorts May 2008 - April 2009
ISS Institutional Shareholder Services June 2007 - May 2008
ISS Institutional Shareholder Services May 2005 - May 2007
NASDAQ August 2001 - May 2005
NASD January 2000 - August 2001
NASD (now FINRA - Financial Investment Regulatory Authority) 2000 - 2001
Lockheed Martin September 1995 - January 2000
Skills
Performance Management, Human Resources, Market Pricing, Executive Pay, HRIS, Deferred Compensation, Talent Management, Mergers, Employee Relations, Employee Benefits, Talent Acquisition, Onboarding, Benefits Administration, Succession Planning, Process Improvement
Education
The Johns Hopkins University 1997 — 2001
MS, Applied Behavioral Science
University of Maryland College Park 1991 — 1995
BS, Business/Human Resources
Aismara Abreu's NASD Experience March 2002 - April 2003
Job Principal Regional Enforcement Counsel at FINRA
Industry Legal Services
Experience
FINRA, Department of Enforcement June 2011 - Present
Herrick Feinstein LLP September 2004 - June 2011
Anapol, Schwartz Weiss Cohan Feldman & Smalley, PC April 2003 - September 2004
NASD March 2002 - April 2003
American Stock Exchange May 1999 - March 2002
Prudential Securities January 1994 - February 1999
Skills
Arbitration, Civil Litigation, Commercial Litigation, Corporate Law, Enforcement, Hedge Funds, Litigation, Securities, Securities Litigation, Securities Regulation
Education
Seton Hall University School of Law 1998 — 2002
Doctor of Law (JD)
Rutgers University-New Brunswick 1995 — 1997
BS, Finance, Spanish
FINRA, Department of Enforcement June 2011 - Present
Herrick Feinstein LLP September 2004 - June 2011
Anapol, Schwartz Weiss Cohan Feldman & Smalley, PC April 2003 - September 2004
NASD March 2002 - April 2003
American Stock Exchange May 1999 - March 2002
Prudential Securities January 1994 - February 1999
Skills
Arbitration, Civil Litigation, Commercial Litigation, Corporate Law, Enforcement, Hedge Funds, Litigation, Securities, Securities Litigation, Securities Regulation
Education
Seton Hall University School of Law 1998 — 2002
Doctor of Law (JD)
Rutgers University-New Brunswick 1995 — 1997
BS, Finance, Spanish
Cigdem Divakar's NASD Experience 1997 - 2000
Job Sr. Director, Financial Applications Business Support
Industry Hospitality
Experience
Marriott International Director, Financial Information ManagementMarriott InternationalMay 2010 - Present
Marriott International 2000 - Present
NASD 1997 - 2000
Skills
PeopleSoft, Business Analysis, Leadership, Front Office, Hotels, Training, Hospitality, Accounting, Sarbanes-Oxley Act, Hospitality Industry, Yield Management, Forecasting, Auditing, Customer Service, P&L, Budgets, Financial Reporting, Internal Controls, Financial Accounting, Revenue Analysis, Financial Analysis, Hospitality Management, Financial Modeling, Sales
Education
University of Maryland College Park 1990 — 1993
Marriott International Director, Financial Information ManagementMarriott InternationalMay 2010 - Present
Marriott International 2000 - Present
NASD 1997 - 2000
Skills
PeopleSoft, Business Analysis, Leadership, Front Office, Hotels, Training, Hospitality, Accounting, Sarbanes-Oxley Act, Hospitality Industry, Yield Management, Forecasting, Auditing, Customer Service, P&L, Budgets, Financial Reporting, Internal Controls, Financial Accounting, Revenue Analysis, Financial Analysis, Hospitality Management, Financial Modeling, Sales
Education
University of Maryland College Park 1990 — 1993
John Michels's NASD Experience 1986 - 1994
Job Vice President at Goldman Sachs
Industry Financial Services
Experience
Goldman Sachs April 1996 - Present
MJ Whitman June 1994 - April 1996
NASD 1986 - 1994
Education
University of Scranton 1983 — 1985
Bachelor of Arts (B.A.), History
Goldman Sachs April 1996 - Present
MJ Whitman June 1994 - April 1996
NASD 1986 - 1994
Education
University of Scranton 1983 — 1985
Bachelor of Arts (B.A.), History
William Shields's NASD Experience 1994 - 2000
Job CCO at GFI Group
Industry Financial Services
Experience
GFI Group SupervisorNASD / Market Regulation1994 - 2000
NASD 1994 - 2000
Skills
Series 7, Equities, FINRA, Capital Markets, Options, Securities, Trading, Financial Risk, Derivatives, Financial Services, Electronic Trading, Series 24, Hedge Funds, Brokerage, Fixed Income, Financial Markets, Trading Systems, Equity Trading, Series 63
Education
Rutgers University School of Law - Newark 1998 — 2001
JD, Law
Syracuse University 1989 — 1993
BS, Finance
GFI Group SupervisorNASD / Market Regulation1994 - 2000
NASD 1994 - 2000
Skills
Series 7, Equities, FINRA, Capital Markets, Options, Securities, Trading, Financial Risk, Derivatives, Financial Services, Electronic Trading, Series 24, Hedge Funds, Brokerage, Fixed Income, Financial Markets, Trading Systems, Equity Trading, Series 63
Education
Rutgers University School of Law - Newark 1998 — 2001
JD, Law
Syracuse University 1989 — 1993
BS, Finance
Jess Haberman's NASD Experience 1985 - 1997
Job Director of Compliance at Fidessa Corp.
Industry Financial Services
Experience
Fidessa Corp. SupervisorNASD1985 - 1997
NASD 1985 - 1997
Education
Tulane University 1970 — 1974
B.S.
Fidessa Corp. SupervisorNASD1985 - 1997
NASD 1985 - 1997
Education
Tulane University 1970 — 1974
B.S.
Mindi Murray's NASD Experience June 2001 - December 2005
Job Vice President at BNP Paribas
Industry Financial Services
Experience
BNP Paribas August 2014 - Present
Morgan Stanley December 2005 - August 2014
NASD June 2001 - December 2005
Skills
Securities, Securities Regulation, FINRA, Risk Management, Customer Service, Microsoft Excel, Financial Analysis, Banking, Microsoft Office, Series 7, Strategic Planning, AML, Alternative Investments, Asset Management, Capital Markets, Corporate Finance, Corporate Governance, Derivatives, Due Diligence, Equities, Financial Regulation, Financial Risk, Fixed Income, Insurance, Investment Advisory, Investment Banking, Investments, KYC, Mutual Funds, Operational Risk, Operational Risk..., Prime Brokerage, Private Equity, Series 63, Structured Products, Wealth Management, Financial Services, Hedge Funds, Management, Options, Series 24
Education
Widener University School of Law 1992 — 1995
Doctor of Law (JD), Law
University of Delaware 1988 — 1992
Bachelor of Arts (B.A.), Psychology
BNP Paribas August 2014 - Present
Morgan Stanley December 2005 - August 2014
NASD June 2001 - December 2005
Skills
Securities, Securities Regulation, FINRA, Risk Management, Customer Service, Microsoft Excel, Financial Analysis, Banking, Microsoft Office, Series 7, Strategic Planning, AML, Alternative Investments, Asset Management, Capital Markets, Corporate Finance, Corporate Governance, Derivatives, Due Diligence, Equities, Financial Regulation, Financial Risk, Fixed Income, Insurance, Investment Advisory, Investment Banking, Investments, KYC, Mutual Funds, Operational Risk, Operational Risk..., Prime Brokerage, Private Equity, Series 63, Structured Products, Wealth Management, Financial Services, Hedge Funds, Management, Options, Series 24
Education
Widener University School of Law 1992 — 1995
Doctor of Law (JD), Law
University of Delaware 1988 — 1992
Bachelor of Arts (B.A.), Psychology
Tiffany Hansmann's NASD Experience April 2003 - May 2007
Job Office Manager at JDRF
Industry Consumer Services
Experience
JDRF June 2012 - May 2015
Experian Interactive Media/LowerMyBills.com June 2007 - May 2010
NASD April 2003 - May 2007
Intel Corporation/Trillium Digital Systems, An Intel Company - Network Software Division July 1999 - April 2003
Christina Development 1997 - 1999
Skills
Program Management, Project Management, Vendor Management, Management, Process Improvement, Product Management, Strategy, Leadership, Contract Negotiation, Team Leadership, Budgets, CRM
Education
Santa Monica College
JDRF June 2012 - May 2015
Experian Interactive Media/LowerMyBills.com June 2007 - May 2010
NASD April 2003 - May 2007
Intel Corporation/Trillium Digital Systems, An Intel Company - Network Software Division July 1999 - April 2003
Christina Development 1997 - 1999
Skills
Program Management, Project Management, Vendor Management, Management, Process Improvement, Product Management, Strategy, Leadership, Contract Negotiation, Team Leadership, Budgets, CRM
Education
Santa Monica College
Teresa (Hopkins) Proberts's NASD Experience November 1999 - April 2006
Job Exam Manager at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority April 2010 - Present
Ausdal Financial Partners April 2006 - March 2010
NASD November 1999 - April 2006
Skills
Investments, Bank Secrecy Act, USA PATRIOT Act, FINRA, Financial Analysis
Education
The University of Kansas 1994 — 1998
B.S., Accounting and Business Administration
Financial Industry Regulatory Authority April 2010 - Present
Ausdal Financial Partners April 2006 - March 2010
NASD November 1999 - April 2006
Skills
Investments, Bank Secrecy Act, USA PATRIOT Act, FINRA, Financial Analysis
Education
The University of Kansas 1994 — 1998
B.S., Accounting and Business Administration
Kara Hackenburg's NASD Experience June 1999 - March 2000
Job Sr. Investment Operations Manager at SVB Financial Group
Industry Financial Services
Experience
SVB Financial Group June 2010 - Present
Silicon Valley Bank October 2002 - June 2010
Wells Fargo March 2000 - October 2002
NASD June 1999 - March 2000
Smith Barney December 1997 - June 1999
E*TRADE Financial August 1995 - December 1997
Skills
Banking, Capital Markets, Investments, Securities, Financial Services, FINRA, Portfolio Management, Risk Management
Education
Santa Clara University 1992 — 1995
BS
SVB Financial Group June 2010 - Present
Silicon Valley Bank October 2002 - June 2010
Wells Fargo March 2000 - October 2002
NASD June 1999 - March 2000
Smith Barney December 1997 - June 1999
E*TRADE Financial August 1995 - December 1997
Skills
Banking, Capital Markets, Investments, Securities, Financial Services, FINRA, Portfolio Management, Risk Management
Education
Santa Clara University 1992 — 1995
BS
Terry-Ann Gardemal's NASD Experience January 1992 - May 1994
Job Senior Vice President at BB&T Wealth
Industry Financial Services
Experience
BB&T Wealth April 2011 - Present
Potomac Financial Management June 2007 - March 2011
The Washington Group August 1998 - March 2007
Beers + Cutler January 1999 - July 1999
Alexandria Financial Assoc February 1997 - December 1998
ICMA Retirement Corporation June 1994 - January 1997
NASD January 1992 - May 1994
Skills
Retirement Planning, Estate Planning, Wealth Management, Strategic Financial..., Investments, Financial Services, Series 7, FINRA, Asset Management, Employee Benefits, Finance, Insurance, Financial Advisory, Personal Finance, Personal Financial..., Qualified Retirement..., Asset Allocation, Certified Financial..., Risk Management, Investment Management, Wealth Management..., High Net Worth..., Financial Planning
Education
University of Cape Town 1984 — 1987
econ honors, economics, accounting
BB&T Wealth April 2011 - Present
Potomac Financial Management June 2007 - March 2011
The Washington Group August 1998 - March 2007
Beers + Cutler January 1999 - July 1999
Alexandria Financial Assoc February 1997 - December 1998
ICMA Retirement Corporation June 1994 - January 1997
NASD January 1992 - May 1994
Skills
Retirement Planning, Estate Planning, Wealth Management, Strategic Financial..., Investments, Financial Services, Series 7, FINRA, Asset Management, Employee Benefits, Finance, Insurance, Financial Advisory, Personal Finance, Personal Financial..., Qualified Retirement..., Asset Allocation, Certified Financial..., Risk Management, Investment Management, Wealth Management..., High Net Worth..., Financial Planning
Education
University of Cape Town 1984 — 1987
econ honors, economics, accounting
Jenna Fortgang's NASD Experience May 2006 - August 2006
Job Associate Attorney
Industry Law Practice
Experience
Kelley Kronenberg March 2013 - Present
Rutherford, Mulhall, P.A. November 2010 - July 2012
NASD May 2006 - August 2006
Skills
Alternative Dispute..., Civil Litigation, Courts, Legal Research, Legal Writing, Litigation, Mediation, Trial Practice, Commercial Litigation, Appeals, Product Liability, Securities Regulation, Westlaw, Hearings, Personal Injury
Education
University of Miami 2004 — 2007
JD, Law
The Ohio State University 1999 — 2003
BA, Psychology
Kelley Kronenberg March 2013 - Present
Rutherford, Mulhall, P.A. November 2010 - July 2012
NASD May 2006 - August 2006
Skills
Alternative Dispute..., Civil Litigation, Courts, Legal Research, Legal Writing, Litigation, Mediation, Trial Practice, Commercial Litigation, Appeals, Product Liability, Securities Regulation, Westlaw, Hearings, Personal Injury
Education
University of Miami 2004 — 2007
JD, Law
The Ohio State University 1999 — 2003
BA, Psychology
Dave Roscum, CPA's NASD Experience 1992 - 1996
Job Manager, Investigations/Sweeps, FINRA
Industry Financial Services
Experience
FINRA June 2001 - Present
T. Rowe Price June 1996 - June 2001
NASD 1992 - 1996
Education
University of Iowa 1977 — 1982
Business
Marymount Univeristy
MBA, Finance
FINRA June 2001 - Present
T. Rowe Price June 1996 - June 2001
NASD 1992 - 1996
Education
University of Iowa 1977 — 1982
Business
Marymount Univeristy
MBA, Finance
Joseph Alotto's NASD Experience August 1993 - December 2001
Job Compliance Professional
Industry Financial Services
Experience
SGS Overbrook Group 2008 - Present
Moodys Investor Services January 2007 - December 2007
RBC Capital Markets February 2004 - January 2007
American Stock Exchange 2001 - 2004
NASD August 1993 - December 2001
Philadelphia Stock Exchange 1982 - 1993
Skills
Securities, Options, Equities, Series 63, Capital Markets, Financial Services, Financial Markets, Series 7, Trading, FINRA, Portfolio Management, Securities Regulation, Equity Trading, Hedge Funds, Derivatives, Fixed Income, Investments, Trading Systems, Risk Management, FX Options, Financial Regulation, Electronic Trading, AML, Alternative Investments
Education
Rowan University 1974 — 1978
SGS Overbrook Group 2008 - Present
Moodys Investor Services January 2007 - December 2007
RBC Capital Markets February 2004 - January 2007
American Stock Exchange 2001 - 2004
NASD August 1993 - December 2001
Philadelphia Stock Exchange 1982 - 1993
Skills
Securities, Options, Equities, Series 63, Capital Markets, Financial Services, Financial Markets, Series 7, Trading, FINRA, Portfolio Management, Securities Regulation, Equity Trading, Hedge Funds, Derivatives, Fixed Income, Investments, Trading Systems, Risk Management, FX Options, Financial Regulation, Electronic Trading, AML, Alternative Investments
Education
Rowan University 1974 — 1978
Jim Lamke's NASD Experience June 1989 - June 1996
Job Senior Vice President CoChief Compliance Officer/Sell Side at Sanford C. Bernstein
Industry Financial Services
Experience
Sanford C. Bernstein & Co., LLC July 2008 - Present
Bear Stearns & Co March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sachs / Spear Leeds & Kellogg June 1996 - April 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD June 1989 - June 1996
NASD 1989 - 1996
Skills
Securities, Equities, Risk Management, Capital Markets, Fixed Income, Options, Trading, Derivatives, Portfolio Management, Trading Systems, Equity Trading, Financial Risk
Education
The Johns Hopkins University - Carey Business School 1994 — 1997
MS, Business Administration and Management, General
University of Maryland University College 1989 — 1991
BS, Business
Sanford C. Bernstein & Co., LLC July 2008 - Present
Bear Stearns & Co March 2006 - July 2008
Banc of America Securities LLC June 2005 - March 2006
BASS Trading (Currently BTIG) June 2003 - June 2005
Goldman Sachs / Spear Leeds & Kellogg June 1996 - April 2003
Spear, Leeds & Kellogg June 1996 - December 2000
NASD June 1989 - June 1996
NASD 1989 - 1996
Skills
Securities, Equities, Risk Management, Capital Markets, Fixed Income, Options, Trading, Derivatives, Portfolio Management, Trading Systems, Equity Trading, Financial Risk
Education
The Johns Hopkins University - Carey Business School 1994 — 1997
MS, Business Administration and Management, General
University of Maryland University College 1989 — 1991
BS, Business
Douglas Kamin's NASD Experience 1986 - 1989
Job Senior Compliance Consultant at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC February 2015 - Present
Resources Global Professionals 2008 - February 2015
Financial Compliance Services November 2007 - February 2015
Bear Stearns 2003 - 2007
Prudential Securities 1994 - 2003
Safian Investment Research 1991 - 1994
NASD 1986 - 1989
Skills
AML, Due Diligence, Hedge Funds, Asset Management, Investment Advisory, Compliance, Auditing, Securities, Compliance Management, Regulatory Reporting, Risk Assessment, FINRA, Operational Risk..., Policy, KYC, Mutual Funds, Series 7, Equities, Asset Allocation, Wealth Management, Capital Markets, Trading, Financial Services, Financial Risk, Private Equity, Loans, Fixed Income, Investment Banking, Derivatives, Portfolio Management, Corporate Governance, Investment Management, Alternative Investments, Mergers & Acquisitions, Insurance, Finance, Anti Money Laundering
Education
Syracuse University 1981 — 1985
Bachelor's degree, Economics
Regulatory Compliance, LLC February 2015 - Present
Resources Global Professionals 2008 - February 2015
Financial Compliance Services November 2007 - February 2015
Bear Stearns 2003 - 2007
Prudential Securities 1994 - 2003
Safian Investment Research 1991 - 1994
NASD 1986 - 1989
Skills
AML, Due Diligence, Hedge Funds, Asset Management, Investment Advisory, Compliance, Auditing, Securities, Compliance Management, Regulatory Reporting, Risk Assessment, FINRA, Operational Risk..., Policy, KYC, Mutual Funds, Series 7, Equities, Asset Allocation, Wealth Management, Capital Markets, Trading, Financial Services, Financial Risk, Private Equity, Loans, Fixed Income, Investment Banking, Derivatives, Portfolio Management, Corporate Governance, Investment Management, Alternative Investments, Mergers & Acquisitions, Insurance, Finance, Anti Money Laundering
Education
Syracuse University 1981 — 1985
Bachelor's degree, Economics
Ivan Kosharov's NASD Experience October 2007 - July 2009
Job ASP.NET & jQuery Test Architect at Infragistics
Industry Computer Software
Experience
Infragistics January 2012 - Present
Infragistics January 2011 - December 2011
Infragistics September 2009 - January 2011
NASD October 2007 - July 2009
Incotex Group March 2007 - September 2007
Skills
Automated Software..., C# Development, jQuery, jQuery UI, ASP.NET, ASP.NET MVC, WPF, TFS, C#, Teamwork, Knowledge Sharing, JavaScript, .NET
Education
Technical University Sofia 2006 — 2010
Bachelors, Telecommunications Technologies
NASD 2008 — 2009
Colleague Degree, Software Development and Teaching
Cisco Academy 2006 — 2007
CCNA1, CCNA2, CCNA3, Information Technology, CCNA1, CCNA2, CCNA3
Infragistics January 2012 - Present
Infragistics January 2011 - December 2011
Infragistics September 2009 - January 2011
NASD October 2007 - July 2009
Incotex Group March 2007 - September 2007
Skills
Automated Software..., C# Development, jQuery, jQuery UI, ASP.NET, ASP.NET MVC, WPF, TFS, C#, Teamwork, Knowledge Sharing, JavaScript, .NET
Education
Technical University Sofia 2006 — 2010
Bachelors, Telecommunications Technologies
NASD 2008 — 2009
Colleague Degree, Software Development and Teaching
Cisco Academy 2006 — 2007
CCNA1, CCNA2, CCNA3, Information Technology, CCNA1, CCNA2, CCNA3
David Mackler's NASD Experience 2003 - 2003
Job New York University Stern School of Business
Industry Financial Services
Experience
EZ Lane August 2013 - Present
PMG Consulting February 2013 - July 2013
CLP May 2010 - February 2013
TZP Group May 2009 - August 2009
Alston & Bird LLP April 2006 - August 2008
McGuireWoods 2005 - 2006
NASD 2003 - 2003
Skills
Due Diligence, Private Equity, Mergers & Acquisitions, Corporate Finance, Securities Regulation, Capital Markets, Corporate Law, Venture Capital, Securities, Legal Writing, Litigation, Financial Modeling, Legal Research, Valuation, Corporate Governance, Hedge Funds, Licensing, Joint Ventures, Bankruptcy, Commercial Litigation, Restructuring, Investments, Strategic Planning, Investment Banking, Project Finance, Financial Services, Equities, IPO, Alternative Investments
Education
New York University - Leonard N. Stern School of Business 2008 — 2010
MBA, Finance, Entrepreneurship & Innovation, Strategy
The George Washington University Law School 2001 — 2004
Juris Doctor, Law
University of Wisconsin-Madison - School of Business 1997 — 2001
BBA, Finance, Investments, & Banking
McDonogh School 1985 — 1997
High School
EZ Lane August 2013 - Present
PMG Consulting February 2013 - July 2013
CLP May 2010 - February 2013
TZP Group May 2009 - August 2009
Alston & Bird LLP April 2006 - August 2008
McGuireWoods 2005 - 2006
NASD 2003 - 2003
Skills
Due Diligence, Private Equity, Mergers & Acquisitions, Corporate Finance, Securities Regulation, Capital Markets, Corporate Law, Venture Capital, Securities, Legal Writing, Litigation, Financial Modeling, Legal Research, Valuation, Corporate Governance, Hedge Funds, Licensing, Joint Ventures, Bankruptcy, Commercial Litigation, Restructuring, Investments, Strategic Planning, Investment Banking, Project Finance, Financial Services, Equities, IPO, Alternative Investments
Education
New York University - Leonard N. Stern School of Business 2008 — 2010
MBA, Finance, Entrepreneurship & Innovation, Strategy
The George Washington University Law School 2001 — 2004
Juris Doctor, Law
University of Wisconsin-Madison - School of Business 1997 — 2001
BBA, Finance, Investments, & Banking
McDonogh School 1985 — 1997
High School
Patti Hessling's NASD Experience 1980 - 1993
Job Provides quantitative data to support your qualitative story
Industry Market Research
Experience
Community School of Excellence 2011 - Present
Re/Max Results June 2004 - June 2014
Sprint 1998 - November 2002
NASD 1980 - 1993
Skills
Investors, Residential Homes, Negotiation, Foreclosures, Short Sales, Real Estate, First Time Home Buyers, Investment Properties, New Home Sales, Selling, Listings, Contract Negotiation, Sellers, Single Family Homes, Mortgage Lending, Condos, Buyer Representation, Relocation, REO
Education
University of Nebraska at Omaha 1994 — 1996
BA, Bus Admin; MIS
OHHS
Community School of Excellence 2011 - Present
Re/Max Results June 2004 - June 2014
Sprint 1998 - November 2002
NASD 1980 - 1993
Skills
Investors, Residential Homes, Negotiation, Foreclosures, Short Sales, Real Estate, First Time Home Buyers, Investment Properties, New Home Sales, Selling, Listings, Contract Negotiation, Sellers, Single Family Homes, Mortgage Lending, Condos, Buyer Representation, Relocation, REO
Education
University of Nebraska at Omaha 1994 — 1996
BA, Bus Admin; MIS
OHHS
Stephen Fajardo's NASD Experience 1999 - 2003
Job Vice President at Nomura
Industry Financial Services
Experience
Nomura November 2013 - Present
Deutsche Bank April 2011 - November 2013
Morgan Stanley 2003 - March 2011
NASD 1999 - 2003
NASD District 10 New York 1997 - 1999
Skills
Options
Education
Rutgers University-New Brunswick 1986 — 1990
Nomura November 2013 - Present
Deutsche Bank April 2011 - November 2013
Morgan Stanley 2003 - March 2011
NASD 1999 - 2003
NASD District 10 New York 1997 - 1999
Skills
Options
Education
Rutgers University-New Brunswick 1986 — 1990
Dan Crowley's NASD Experience March 1999 - January 2001
Job Partner at K & L Gates LLP
Industry Financial Services
Experience
K & L Gates LLP September 2008 - Present
Investment Company Institute June 2003 - August 2008
NASDAQ January 2001 - June 2003
NASD March 1999 - January 2001
U.S. House of Representatives April 1998 - January 1999
U.S. House of Representatives January 1995 - March 1998
Committee on House Administration 1991 - 1995
Skills
Public Policy, Legislative Relations, Strategic Communications, Political Campaigns, Public Affairs, Legislation, Politics, Government, Corporate Governance, Non-profits, Media Relations, Public Relations, Public Speaking, Strategic Planning, Fundraising
Education
University of Maryland School of Law 1987 — 1990
JD, MPM
University of Maryland College Park 1986 — 1990
MPM, Public Finance
University of Maryland College Park 1983 — 1986
BS, Finance
K & L Gates LLP September 2008 - Present
Investment Company Institute June 2003 - August 2008
NASDAQ January 2001 - June 2003
NASD March 1999 - January 2001
U.S. House of Representatives April 1998 - January 1999
U.S. House of Representatives January 1995 - March 1998
Committee on House Administration 1991 - 1995
Skills
Public Policy, Legislative Relations, Strategic Communications, Political Campaigns, Public Affairs, Legislation, Politics, Government, Corporate Governance, Non-profits, Media Relations, Public Relations, Public Speaking, Strategic Planning, Fundraising
Education
University of Maryland School of Law 1987 — 1990
JD, MPM
University of Maryland College Park 1986 — 1990
MPM, Public Finance
University of Maryland College Park 1983 — 1986
BS, Finance
Bill Tanem's NASD Experience 1995 - 1997
Job Compliance Consultant at Wells Fargo Bank
Industry Financial Services
Experience
Wells Fargo Bank January 2010 - Present
Wells Fargo Investments, LLC 2004 - 2008
FIRE Solutions 2000 - 2004
Banc of America Investments 1997 - 1999
NASD 1995 - 1997
Skills
Series 7, Securities, FINRA, Series 24, AML, Mutual Funds, Investments
Education
Saint Mary's College of California 1992 — 1994
MBA, Finance
University of California, Davis 1975 — 1979
Wells Fargo Bank January 2010 - Present
Wells Fargo Investments, LLC 2004 - 2008
FIRE Solutions 2000 - 2004
Banc of America Investments 1997 - 1999
NASD 1995 - 1997
Skills
Series 7, Securities, FINRA, Series 24, AML, Mutual Funds, Investments
Education
Saint Mary's College of California 1992 — 1994
MBA, Finance
University of California, Davis 1975 — 1979
Bhavesh Maisheri's NASD Experience 2004 - July 2010
Job Technical Team Lead at Financial Industry Regulatory Authority
Industry Information Technology and Services
Experience
Financial Industry Regulatory Authority March 2013 - Present
Fannie Mae July 2010 - February 2013
EDS 2006 - July 2010
NASD 2004 - July 2010
HP 2008 - 2010
FINRA 2005 - 2010
EDS, an HP company 2006 - 2008
Marlabs Inc 2004 - 2006
CACI 2004 - 2004
Tata Consultancy Services 1999 - 2004
Skills
Data Warehousing, Requirements Analysis, SDLC, Software Project..., SQL, Solution Architecture, Oracle, Business Analysis, Agile Methodologies, PL/SQL
Education
VJTI 1995 — 1999
Bachelor of Engineering (B.E.), Mechanical Engineering
University of Mumbai 1991 — 1995
Bachelor of Engineering (B.E.), Mechanical E
Financial Industry Regulatory Authority March 2013 - Present
Fannie Mae July 2010 - February 2013
EDS 2006 - July 2010
NASD 2004 - July 2010
HP 2008 - 2010
FINRA 2005 - 2010
EDS, an HP company 2006 - 2008
Marlabs Inc 2004 - 2006
CACI 2004 - 2004
Tata Consultancy Services 1999 - 2004
Skills
Data Warehousing, Requirements Analysis, SDLC, Software Project..., SQL, Solution Architecture, Oracle, Business Analysis, Agile Methodologies, PL/SQL
Education
VJTI 1995 — 1999
Bachelor of Engineering (B.E.), Mechanical Engineering
University of Mumbai 1991 — 1995
Bachelor of Engineering (B.E.), Mechanical E
Bryan Varvel's NASD Experience 1990 - 2007
Job Principal Examiner at FINRA
Industry Financial Services
Experience
FINRA 1990 - Present
FINRA (NASD, Inc) 1990 - Present
NASD 1990 - 2007
Skills
FINRA, AML, Risk Management, Financial Analysis, Financial Services, Securities, Mutual Funds, Series 7
Education
University of Nebraska-Lincoln 1979 — 1983
FINRA 1990 - Present
FINRA (NASD, Inc) 1990 - Present
NASD 1990 - 2007
Skills
FINRA, AML, Risk Management, Financial Analysis, Financial Services, Securities, Mutual Funds, Series 7
Education
University of Nebraska-Lincoln 1979 — 1983
Lonnie Aronson, PHR's NASD Experience 1993 - 1999
Job Staffing Manager at AT&T
Industry Wireless
Experience
AT&T November 2003 - Present
AT&T, formerly Cingular Wireless 2003 - 2008
Icon Consultants 2002 - 2002
The Nasdaq Stock Market 1999 - 2001
NASD 1993 - 1999
Skills
Applicant Tracking..., Onboarding, Talent Acquisition, College Recruiting, Talent Management, Employee Relations, Recruiting, Technical Recruiting, Human Resources, Sourcing, Internet Recruiting, SDLC, Interviews, Temporary Placement, Hiring, Workforce Planning, Taleo, Staffing Services, HRIS, Benefits Negotiation, Deferred Compensation, Screening, Succession Planning, PeopleSoft, New Hire Orientations, Screening Resumes, Cold Calling, Personnel Management, Executive Search, Employer Branding, Temporary Staffing, Benefits Administration, Contract Recruitment, Job Descriptions, Employee Engagement, HR Policies, Employee Benefits, Resume Writing, Employee Training, HR Consulting, Performance Management, FMLA, Career Development, Labor Relations, Vendor Management, Organizational..., Job Fairs, Training, Organizational..., Organizational Design
Education
University of Maryland College Park
Psychology
AT&T November 2003 - Present
AT&T, formerly Cingular Wireless 2003 - 2008
Icon Consultants 2002 - 2002
The Nasdaq Stock Market 1999 - 2001
NASD 1993 - 1999
Skills
Applicant Tracking..., Onboarding, Talent Acquisition, College Recruiting, Talent Management, Employee Relations, Recruiting, Technical Recruiting, Human Resources, Sourcing, Internet Recruiting, SDLC, Interviews, Temporary Placement, Hiring, Workforce Planning, Taleo, Staffing Services, HRIS, Benefits Negotiation, Deferred Compensation, Screening, Succession Planning, PeopleSoft, New Hire Orientations, Screening Resumes, Cold Calling, Personnel Management, Executive Search, Employer Branding, Temporary Staffing, Benefits Administration, Contract Recruitment, Job Descriptions, Employee Engagement, HR Policies, Employee Benefits, Resume Writing, Employee Training, HR Consulting, Performance Management, FMLA, Career Development, Labor Relations, Vendor Management, Organizational..., Job Fairs, Training, Organizational..., Organizational Design
Education
University of Maryland College Park
Psychology
Peter J. Stangert's NASD Experience September 1978 - September 1991
Job at Hardin Compliance Consultants
Industry Management Consulting
Experience
Hardin Compliance Consulting LLC October 2010 - Present
Three Rivers Compliance Consultants, Inc. July 2009 - June 2012
PNC Capital Markets 1991 - 2009
PNC 1991 - 2009
PNC Financial Services Group 1991 - 2009
NASD September 1978 - September 1991
Skills
Compliance, FINRA, Brokerage, Series 7, Bank Secrecy Act, Securities, USA PATRIOT Act, Mutual Funds, Securities Regulation, Series 24, series 4, Series 53, CAMS, State Compliance, Investment Banking, Institutional Investors, Licensing, OFAC, BSA, AML, KYC, Series 63, Institutional..., Investment Advisory, Alternative Investments
Education
Rutgers University-New Brunswick 1974 — 1978
BA, Economics
Hardin Compliance Consulting LLC October 2010 - Present
Three Rivers Compliance Consultants, Inc. July 2009 - June 2012
PNC Capital Markets 1991 - 2009
PNC 1991 - 2009
PNC Financial Services Group 1991 - 2009
NASD September 1978 - September 1991
Skills
Compliance, FINRA, Brokerage, Series 7, Bank Secrecy Act, Securities, USA PATRIOT Act, Mutual Funds, Securities Regulation, Series 24, series 4, Series 53, CAMS, State Compliance, Investment Banking, Institutional Investors, Licensing, OFAC, BSA, AML, KYC, Series 63, Institutional..., Investment Advisory, Alternative Investments
Education
Rutgers University-New Brunswick 1974 — 1978
BA, Economics
Andrew C. Goresh's NASD Experience April 2001 - October 2006
Job Principal at Coaching for Transitions LLC
Industry Human Resources
Experience
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Coaching for Transitions LLC January 2008 - Present
Fieldstone Mortgage Company October 2006 - October 2007
NASD April 2001 - October 2006
FINRA (formerly NASD) 2001 - 2006
FINRA 2001 - 2006
Financial Industry Regulatory Authority 2001 - 2006
T. Rowe Price 1985 - 1998
Skills
Recruiting, Succession Planning, Leadership, Change Management, Human Resources, Deferred Compensation, Team Building, Strategy, Talent Management, Employment Law, Strategic Planning, Performance Management, Employee Benefits, Management, Personnel Management, Mergers & Acquisitions, Executive Coaching, Employee Relations, Coaching, Consulting, Executive Management, Talent Acquisition, Management Consulting
Education
University of Pennsylvania - The Wharton School 1996 — 1996
Certificate, Advanced Management Program
Washington and Lee University 1971 — 1974
JD, Law
The Ohio State University 1968 — 1970
BA, Psychology
Carl Hollingsworth's NASD Experience 1997 - 1999
Job Systems Administrator
Industry Information Technology and Services
Experience
EDS February 2005 - August 2007
Above.Net, Inc. September 2002 - December 2004
Cable & Wireless 1999 - 2001
NASD 1997 - 1999
Skills
Windows Server, Active Directory, XP, Servers, Disaster Recovery, Nagios, SharePoint, Software Installation, Operating Systems, Terminal Services, Microsoft SQL Server, Databases, Troubleshooting, Solaris, Group Policy, VMware, Cloud Computing, Windows XP, DNS
Education
Tufts University 1986 — 1992
EDS February 2005 - August 2007
Above.Net, Inc. September 2002 - December 2004
Cable & Wireless 1999 - 2001
NASD 1997 - 1999
Skills
Windows Server, Active Directory, XP, Servers, Disaster Recovery, Nagios, SharePoint, Software Installation, Operating Systems, Terminal Services, Microsoft SQL Server, Databases, Troubleshooting, Solaris, Group Policy, VMware, Cloud Computing, Windows XP, DNS
Education
Tufts University 1986 — 1992
Sean Whitehead's NASD Experience December 2007 - January 2008
Job Contractor at AGSI
Industry Information Technology and Services
Experience
AGSI September 2008 - Present
NASD December 2007 - January 2008
NASD June 2007 - August 2007
NASD December 2006 - January 2007
NASD June 2006 - August 2006
Education
Texas A&M University - Mays Business School 2006 — 2010
Bachelors, Business IT Management
AGSI September 2008 - Present
NASD December 2007 - January 2008
NASD June 2007 - August 2007
NASD December 2006 - January 2007
NASD June 2006 - August 2006
Education
Texas A&M University - Mays Business School 2006 — 2010
Bachelors, Business IT Management
Seth Levy's NASD Experience September 2003 - March 2007
Job Director at Financial Industry Regulatory Authority
Industry Financial Services
Experience
Financial Industry Regulatory Authority March 2012 - Present
FINRA January 2010 - March 2012
FINRA March 2007 - January 2010
NASD September 2003 - March 2007
NASD June 2000 - September 2003
Skills
FINRA, Compliance, Trading, Auditing, SEC reporting
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2008
MS, Accounting and Business/Management
University of Maryland - Robert H. Smith School of Business 1996 — 2000
BS, Finance
Financial Industry Regulatory Authority March 2012 - Present
FINRA January 2010 - March 2012
FINRA March 2007 - January 2010
NASD September 2003 - March 2007
NASD June 2000 - September 2003
Skills
FINRA, Compliance, Trading, Auditing, SEC reporting
Education
University of Maryland - Robert H. Smith School of Business 2007 — 2008
MS, Accounting and Business/Management
University of Maryland - Robert H. Smith School of Business 1996 — 2000
BS, Finance
Joseph Pearsall's NASD Experience 1994 - 1997
Job Executive Director at UBS Securities LLC / UBS AG
Industry Financial Services
Experience
UBS Securities LLC / UBS AG October 2013 - Present
Barclays Capital June 2009 - September 2013
Morgan Stanley July 2008 - November 2008
Deutsche Bank July 2003 - July 2008
ABN AMRO June 2000 - July 2003
NASD 1994 - 1997
Skills
USA PATRIOT Act, OFAC, AML, KYC, Bank Secrecy Act, Financial Risk, Investment Advisory, LinkedIn, Professional..., Options, SEC, Hedge Funds, Capital Markets, Operational Risk, Financial Regulation, Derivatives, Broker-Dealer, Series 63
Education
St. John's University, The Peter J. Tobin College of Business
BS, Finance
UBS Securities LLC / UBS AG October 2013 - Present
Barclays Capital June 2009 - September 2013
Morgan Stanley July 2008 - November 2008
Deutsche Bank July 2003 - July 2008
ABN AMRO June 2000 - July 2003
NASD 1994 - 1997
Skills
USA PATRIOT Act, OFAC, AML, KYC, Bank Secrecy Act, Financial Risk, Investment Advisory, LinkedIn, Professional..., Options, SEC, Hedge Funds, Capital Markets, Operational Risk, Financial Regulation, Derivatives, Broker-Dealer, Series 63
Education
St. John's University, The Peter J. Tobin College of Business
BS, Finance
Mort Aasland's NASD Experience 1996 - 1997
Job VP Equities Compliance at Jefferies & Company
Industry Financial Services
Experience
Jefferies & Company September 2005 - Present
Merrill Lynch March 1998 - February 2005
NASDAQ 1997 - 1998
NASD 1996 - 1997
National Association of Securities Dealers 1996 - 1997
Skills
Series 24, FINRA, Series 7, Series 63, series 55
Education
The College of New Jersey 1991 — 1995
BS, Business
Jefferies & Company September 2005 - Present
Merrill Lynch March 1998 - February 2005
NASDAQ 1997 - 1998
NASD 1996 - 1997
National Association of Securities Dealers 1996 - 1997
Skills
Series 24, FINRA, Series 7, Series 63, series 55
Education
The College of New Jersey 1991 — 1995
BS, Business
Gregory Rosta's NASD Experience September 2005 - July 2006
Job Vice President at BlackRock
Industry Financial Services
Experience
BlackRock March 2015 - Present
AllianceBernstein July 2009 - February 2015
AllianceBernstein Investments, Inc. July 2009 - February 2015
Nationwide Funds Group May 2009 - July 2009
AllianceBernstein July 2006 - May 2009
NASD September 2005 - July 2006
State of New Jersey February 2003 - September 2005
Merrill Lynch 1996 - 1997
Skills
Securities, Mutual Funds, Compliance, Investments, Series 24, Separately Managed..., Regulatory Affairs, Regulatory Reporting, FINRA, Alternative Investments, Hedge Funds, Regulatory Requirements, Distribution Agreements
Education
Seton Hall University 1998 — 2002
MBA, Finance
Seton Hall University School of Law 1998 — 2002
JD
Seton Hall University 1994 — 1998
BS, Business Management
BlackRock March 2015 - Present
AllianceBernstein July 2009 - February 2015
AllianceBernstein Investments, Inc. July 2009 - February 2015
Nationwide Funds Group May 2009 - July 2009
AllianceBernstein July 2006 - May 2009
NASD September 2005 - July 2006
State of New Jersey February 2003 - September 2005
Merrill Lynch 1996 - 1997
Skills
Securities, Mutual Funds, Compliance, Investments, Series 24, Separately Managed..., Regulatory Affairs, Regulatory Reporting, FINRA, Alternative Investments, Hedge Funds, Regulatory Requirements, Distribution Agreements
Education
Seton Hall University 1998 — 2002
MBA, Finance
Seton Hall University School of Law 1998 — 2002
JD
Seton Hall University 1994 — 1998
BS, Business Management
A.J. McDowell's NASD Experience March 1999 - June 2000
Job Centrus Energy Corp.
Industry Utilities
Experience
Centrus Energy Corp. May 2009 - Present
Federal Realty Investment Trust March 2008 - February 2009
Carl M. Freeman Associates November 2003 - March 2008
National Energy and Gas Transmission, Inc.. June 2000 - November 2003
NASD March 1999 - June 2000
NASD June 1997 - March 1999
Yorke, Burke, and Lee, CPAs, P.A. May 1994 - June 1997
Skills
Accounting, Auditing, Cash Management, Contract Negotiation, Cost Accounting, Finance, Financial Accounting, Financial Analysis, Financial Modeling, Financial Reporting, GAAP, Forecasting, General Ledger, Internal Controls, Management, Managerial Finance, Project Management, Project Planning, Real Estate, Revenue Recognition, Sarbanes-Oxley Act, SEC filings, Strategic Planning, Team Building, US GAAP
Education
University of Maryland College Park 1993 — 1995
B.S., Accounting
Centrus Energy Corp. May 2009 - Present
Federal Realty Investment Trust March 2008 - February 2009
Carl M. Freeman Associates November 2003 - March 2008
National Energy and Gas Transmission, Inc.. June 2000 - November 2003
NASD March 1999 - June 2000
NASD June 1997 - March 1999
Yorke, Burke, and Lee, CPAs, P.A. May 1994 - June 1997
Skills
Accounting, Auditing, Cash Management, Contract Negotiation, Cost Accounting, Finance, Financial Accounting, Financial Analysis, Financial Modeling, Financial Reporting, GAAP, Forecasting, General Ledger, Internal Controls, Management, Managerial Finance, Project Management, Project Planning, Real Estate, Revenue Recognition, Sarbanes-Oxley Act, SEC filings, Strategic Planning, Team Building, US GAAP
Education
University of Maryland College Park 1993 — 1995
B.S., Accounting
Laurel Worm's NASD Experience 1995 - 1999
Job Retired at the Beach
Industry Financial Services
Experience
the Beach Program ManagerFINRAJuly 2003 - January 2014
Electronic Data Systems June 1999 - June 2003
NASD 1995 - 1999
Self Employed 1989 - 1995
Advanced Technology 1985 - 1989
VSE Corporation 1983 - 1985
USDA 1979 - 1983
Skills
PMP, Business Analysis, Requirements Analysis, IT Strategy, Enterprise Architecture, Risk Management, Project Portfolio..., Program Management, SDLC, Project Management, Software Project..., Process Improvement, Agile Methodologies
Education
Virginia Polytechnic Institute and State University
M.S., Computer Science and Applications
University of Delaware 1976 — 1979
B.S., Plant Science
the Beach Program ManagerFINRAJuly 2003 - January 2014
Electronic Data Systems June 1999 - June 2003
NASD 1995 - 1999
Self Employed 1989 - 1995
Advanced Technology 1985 - 1989
VSE Corporation 1983 - 1985
USDA 1979 - 1983
Skills
PMP, Business Analysis, Requirements Analysis, IT Strategy, Enterprise Architecture, Risk Management, Project Portfolio..., Program Management, SDLC, Project Management, Software Project..., Process Improvement, Agile Methodologies
Education
Virginia Polytechnic Institute and State University
M.S., Computer Science and Applications
University of Delaware 1976 — 1979
B.S., Plant Science
Michael Coats, CFA, CFP's NASD Experience July 1997 - September 2001
Job Investment Portfolio Manager at SunTrust Bank
Industry Financial Services
Experience
SunTrust Bank February 2011 - Present
US Trust February 2009 - February 2011
US Trust September 2005 - February 2009
Bank of America's Private Bank September 2001 - September 2005
NASD July 1997 - September 2001
Skills
Alternative Investments, Wealth Management, Portfolio Management, Investment Strategies, Asset Allocation, Investment Management, Investments, Asset Management, Mutual Funds
Education
University of Delaware - Lerner College of Business and Economics 1990 — 1995
BS, Finance, Marketing
SunTrust Bank February 2011 - Present
US Trust February 2009 - February 2011
US Trust September 2005 - February 2009
Bank of America's Private Bank September 2001 - September 2005
NASD July 1997 - September 2001
Skills
Alternative Investments, Wealth Management, Portfolio Management, Investment Strategies, Asset Allocation, Investment Management, Investments, Asset Management, Mutual Funds
Education
University of Delaware - Lerner College of Business and Economics 1990 — 1995
BS, Finance, Marketing
Ann M. Griffith's NASD Experience 2002 - 2005
Job Managing Director at Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC 2011 - Present
IFC - International Finance Corporation August 2010 - June 2011
FBR July 2005 - June 2010
NASD 2002 - 2005
Credit Suisse First Boston January 1998 - June 2002
Bankers Trust 1997 - 1997
US Securities and Exchange Commission 1991 - 1997
Skills
Compliance, Corporate Governance, Series 7, FINRA, AML, Risk Management, Hedge Funds, Capital Markets, Investment Advisory, Securities Regulation, Risk Assessment, Policy, Private Equity, Broker-Dealer, Due Diligence, Securities, SEC, Equities, Alternative Investments, Financial Services, Private Placements, Prime Brokerage, Asset Management, Mutual Funds, Series 24, Trading, Anti Money Laundering
Education
University of Illinois College of Law 1986 — 1989
J.D., Law
University of Illinois at Urbana-Champaign 1982 — 1986
B.A., English
Oyster Consulting, LLC 2011 - Present
IFC - International Finance Corporation August 2010 - June 2011
FBR July 2005 - June 2010
NASD 2002 - 2005
Credit Suisse First Boston January 1998 - June 2002
Bankers Trust 1997 - 1997
US Securities and Exchange Commission 1991 - 1997
Skills
Compliance, Corporate Governance, Series 7, FINRA, AML, Risk Management, Hedge Funds, Capital Markets, Investment Advisory, Securities Regulation, Risk Assessment, Policy, Private Equity, Broker-Dealer, Due Diligence, Securities, SEC, Equities, Alternative Investments, Financial Services, Private Placements, Prime Brokerage, Asset Management, Mutual Funds, Series 24, Trading, Anti Money Laundering
Education
University of Illinois College of Law 1986 — 1989
J.D., Law
University of Illinois at Urbana-Champaign 1982 — 1986
B.A., English
Dianne DuSault's NASD Experience September 1984 - December 2008
Job Certified Regulatory Compliance Specialist
Industry Financial Services
Experience
NASD September 1984 - December 2008
NASD 1984 - 2008
FINRA 1984 - 2008
FINRA (Financial Industry Regulatory Authority), formerly NASD 1984 - 2008
Skills
Internal Audit, Series 24, FINRA, Investment Advisory, Hedge Funds, Securities, Banking, Series 7, Equities, Policy, Mutual Funds
Education
Spokane Falls Community College 1976 — 1978
AA, Accounting & Federal Tax Practice
Wharton Business School
Certification, Regulatory Compliance Professional
NASD September 1984 - December 2008
NASD 1984 - 2008
FINRA 1984 - 2008
FINRA (Financial Industry Regulatory Authority), formerly NASD 1984 - 2008
Skills
Internal Audit, Series 24, FINRA, Investment Advisory, Hedge Funds, Securities, Banking, Series 7, Equities, Policy, Mutual Funds
Education
Spokane Falls Community College 1976 — 1978
AA, Accounting & Federal Tax Practice
Wharton Business School
Certification, Regulatory Compliance Professional
George Malas, CFE's NASD Experience March 2004 - October 2005
Job Futures Trading Investigator at U.S. Commodity Futures Trading Commission
Industry Security and Investigations
Experience
U. S. Commodity Futures Trading Commission September 2009 - Present
Deutsche Bank Securities January 2007 - April 2009
Deutsche Bank Securities October 2005 - December 2006
NASD March 2004 - October 2005
NASD August 2002 - March 2004
NASD June 1998 - August 2002
Skills
Accounting, Analysis, Securities Regulation, Interviews, Training, Compliance, Risk Management, Series 7, Legal Writing, Financial Analysis, Trading, Securities, Management, Fraud, Finance, Auditing, AML
Education
The Johns Hopkins University - Carey Business School 2001 — 2006
MBA
Towson University 1992 — 1996
Bachelors, Business Administration / Finance
U. S. Commodity Futures Trading Commission September 2009 - Present
Deutsche Bank Securities January 2007 - April 2009
Deutsche Bank Securities October 2005 - December 2006
NASD March 2004 - October 2005
NASD August 2002 - March 2004
NASD June 1998 - August 2002
Skills
Accounting, Analysis, Securities Regulation, Interviews, Training, Compliance, Risk Management, Series 7, Legal Writing, Financial Analysis, Trading, Securities, Management, Fraud, Finance, Auditing, AML
Education
The Johns Hopkins University - Carey Business School 2001 — 2006
MBA
Towson University 1992 — 1996
Bachelors, Business Administration / Finance
Nicol Bell's NASD Experience May 2000 - May 2006
Job Director, Associate General Counsel/Project Manager of Supervisory Controls at UBS
Industry Financial Services
Experience
UBS Financial Services, Inc. May 2006 - Present
NASD May 2000 - May 2006
Law Office of Doreen Ryan May 1999 - May 2000
Miller, Meyerson, Schwartz & Corbo April 1998 - May 1999
Essex County Superior Court, Family Division September 1996 - December 1997
City News Publishing Company August 1992 - July 1993
Skills
Compliance, Policy Analysis, Regulatory Analysis, Supervisory Controls, Procedure Review, Risk Assessment, Policy Writing, Procedure Manuals, Training, Content Development, Project Planning, Program Development, Process Management, Supervision, Report Writing, Regulatory Examinations
Education
Rutgers University School of Law - Newark 1993 — 1996
JD
Rutgers, The State University of New Jersey-New Brunswick 1984 — 1996
BA
UBS Financial Services, Inc. May 2006 - Present
NASD May 2000 - May 2006
Law Office of Doreen Ryan May 1999 - May 2000
Miller, Meyerson, Schwartz & Corbo April 1998 - May 1999
Essex County Superior Court, Family Division September 1996 - December 1997
City News Publishing Company August 1992 - July 1993
Skills
Compliance, Policy Analysis, Regulatory Analysis, Supervisory Controls, Procedure Review, Risk Assessment, Policy Writing, Procedure Manuals, Training, Content Development, Project Planning, Program Development, Process Management, Supervision, Report Writing, Regulatory Examinations
Education
Rutgers University School of Law - Newark 1993 — 1996
JD
Rutgers, The State University of New Jersey-New Brunswick 1984 — 1996
BA
Jean Feeney's NASD Experience October 1977 - December 1987
Job Independent Writing and Editing Professional
Industry Writing and Editing
Experience
FINRA January 2000 - January 2009
NASD (National Association of Securities Dealers, Inc.) (now FINRA) February 1997 - January 2000
Self-Employed January 1988 - January 1997
NASD October 1977 - December 1987
Skills
Legal Writing, Securities, Arbitration, Corporate Law, Mediation, FINRA, Securities Regulation, Commercial Litigation, Financial Regulation, Dispute Resolution, Policy
Education
The George Washington University Law School
JD
University of Missouri
BA, Political Science; English, French and Sociology
FINRA January 2000 - January 2009
NASD (National Association of Securities Dealers, Inc.) (now FINRA) February 1997 - January 2000
Self-Employed January 1988 - January 1997
NASD October 1977 - December 1987
Skills
Legal Writing, Securities, Arbitration, Corporate Law, Mediation, FINRA, Securities Regulation, Commercial Litigation, Financial Regulation, Dispute Resolution, Policy
Education
The George Washington University Law School
JD
University of Missouri
BA, Political Science; English, French and Sociology
Socrates Geetha's NASD Experience 2004 - 2007
Job Software Engineer at H.P. Associates, Inc.
Industry Financial Services
Experience
Hewlett-Packard August 2008 - Present
FINRA 2001 - 2009
Electronic Data Systems June 2000 - August 2008
NASD 2004 - 2007
Skills
SOA, Solution Architecture, Web Services, SDLC, Oracle, Requirements Analysis, Software Project..., Agile Methodologies, .NET, ASP.NET, Agile Project Management, C#, Software Development, Business Analysis, Enterprise Architecture, Scrum, WCF, JavaScript, Java, Linux, Software Engineering, OOAD, Design Patterns, ESB, Cloud Computing, Android Development, Ionic Framework, Salesforce.com...
Education
University of Madras 2000 — 2003
Masters, Computer Applications
University of Madras 1997 — 2000
B.Sc, Mathematics
ICF Higher Secondary School 1991 — 1993
ICF Silver Jubilee Matriculation Higher Secondary School 1986 — 1991
Hewlett-Packard August 2008 - Present
FINRA 2001 - 2009
Electronic Data Systems June 2000 - August 2008
NASD 2004 - 2007
Skills
SOA, Solution Architecture, Web Services, SDLC, Oracle, Requirements Analysis, Software Project..., Agile Methodologies, .NET, ASP.NET, Agile Project Management, C#, Software Development, Business Analysis, Enterprise Architecture, Scrum, WCF, JavaScript, Java, Linux, Software Engineering, OOAD, Design Patterns, ESB, Cloud Computing, Android Development, Ionic Framework, Salesforce.com...
Education
University of Madras 2000 — 2003
Masters, Computer Applications
University of Madras 1997 — 2000
B.Sc, Mathematics
ICF Higher Secondary School 1991 — 1993
ICF Silver Jubilee Matriculation Higher Secondary School 1986 — 1991
Harold Li's NASD Experience September 2003 - July 2007
Job SAS Architect / Senior SAS Administrator at Teva Pharmaceutical Industries Ltd.
Industry Pharmaceuticals
Experience
Teva Pharmaceutical Industries Ltd. February 2012 - Present
FINRA July 2007 - January 2012
NASD September 2003 - July 2007
Bank of New York June 2003 - September 2003
Freddie Mac November 2002 - May 2003
Raytheon April 2000 - July 2002
Skills
SAS Programming, SAS BI Administration, SAS Management Console, SAS Macro, Unix Shell Scripting, Linux Scripting, Red Hat Linux, Unix Administration, SQL, Oracle, Netezza, Greenplum, MS SQL Server, ODBC, SAS/Access, System Automation, Test Automation, Production Automation, Documentation, MS Office Suite, Technical Presentations, Internal Communications, Business Intelligence, Data Mining, Windows, Linux, ETL, Databases, Windows Server 2008 R2, Windows Desktop..., SAS 9.2 SAS 9.3 SAS Grid, Unix, Shell Scripting, SAS, SAS programming, Business Analysis, Microsoft Office, Microsoft SQL Server, Requirements Analysis, SAS Base
Education
Southeastern University 1999 — 2000
MS, Computer Science
University of Maryland College Park 1994 — 1999
Ph.D. Candidate, Mass Communications
Shanghai International Studies University
MA, Mass Communications
Shanghai Jiao Tong University
BS, Science and Technology
Teva Pharmaceutical Industries Ltd. February 2012 - Present
FINRA July 2007 - January 2012
NASD September 2003 - July 2007
Bank of New York June 2003 - September 2003
Freddie Mac November 2002 - May 2003
Raytheon April 2000 - July 2002
Skills
SAS Programming, SAS BI Administration, SAS Management Console, SAS Macro, Unix Shell Scripting, Linux Scripting, Red Hat Linux, Unix Administration, SQL, Oracle, Netezza, Greenplum, MS SQL Server, ODBC, SAS/Access, System Automation, Test Automation, Production Automation, Documentation, MS Office Suite, Technical Presentations, Internal Communications, Business Intelligence, Data Mining, Windows, Linux, ETL, Databases, Windows Server 2008 R2, Windows Desktop..., SAS 9.2 SAS 9.3 SAS Grid, Unix, Shell Scripting, SAS, SAS programming, Business Analysis, Microsoft Office, Microsoft SQL Server, Requirements Analysis, SAS Base
Education
Southeastern University 1999 — 2000
MS, Computer Science
University of Maryland College Park 1994 — 1999
Ph.D. Candidate, Mass Communications
Shanghai International Studies University
MA, Mass Communications
Shanghai Jiao Tong University
BS, Science and Technology
Charles Reed's NASD Experience 1987 - May 1989
Job Director, Municipal Underwriting, Citigroup, Municipal Principal
Industry Financial Services
Experience
Citigroup June 1989 - Present
NASD 1987 - May 1989
Skills
Bonds, Trading, Capital Markets, Fixed Income, Securities, Hedge Funds, Series 7, Series 63, Equities, Bloomberg, Alternative Investments, Structured Products, Loans, Investments, Municipal Bonds, FINRA, Competitive Bidding, Presentations, Series 53, Bidcomp, Proprietary Trading, Marketing
Education
State University of New York College at Cortland 1982 — 1986
BA, Economics
Citigroup June 1989 - Present
NASD 1987 - May 1989
Skills
Bonds, Trading, Capital Markets, Fixed Income, Securities, Hedge Funds, Series 7, Series 63, Equities, Bloomberg, Alternative Investments, Structured Products, Loans, Investments, Municipal Bonds, FINRA, Competitive Bidding, Presentations, Series 53, Bidcomp, Proprietary Trading, Marketing
Education
State University of New York College at Cortland 1982 — 1986
BA, Economics
Len Gatrell's NASD Experience 1993 - 2002
Job VP Technology at FINRA
Industry Financial Services
Experience
FINRA 2002 - Present
NASD 1993 - 2002
Electronic Information Systems 1991 - 1993
Micrognosis 1987 - 1991
Skills
Project Management, Management, Big Data, Market Data, Data Warehousing, Financial Markets, SDLC, Enterprise Architecture, IT Strategy
Education
University of New Haven 1984 — 1987
BSEE, Electrical Engineering
FINRA 2002 - Present
NASD 1993 - 2002
Electronic Information Systems 1991 - 1993
Micrognosis 1987 - 1991
Skills
Project Management, Management, Big Data, Market Data, Data Warehousing, Financial Markets, SDLC, Enterprise Architecture, IT Strategy
Education
University of New Haven 1984 — 1987
BSEE, Electrical Engineering
Peter Sigismondi's NASD Experience June 1996 - March 2000
Job Chief Compliance Officer at Ramirez Asset Management, Inc.
Industry Investment Banking
Experience
Ramirez Asset Management, Inc. July 2012 - Present
Samuel A. Ramirez & Co., Inc. October 2011 - Present
Goldman Sachs April 2000 - October 2011
NASD June 1996 - March 2000
Skills
FINRA, Middle Office, Hedge Funds, SEC, Equity Trading, Securities, Options, Series 7, AML, Financial Regulation, Trading, Prime Brokerage, Series 63, Capital Markets, Equities, Equity Derivatives, Electronic Trading, Derivatives, Fixed Income, Alternative Investments, Series 24, Trading Systems, ETFs, Broker-Dealer, KYC, Securities Regulation, Investment Banking, USA PATRIOT Act, Financial Markets, OFAC, Bloomberg
Education
Rutgers, The State University of New Jersey-New Brunswick
BA, Economics, English
Seton Hall University
MBA, Finance
Ramirez Asset Management, Inc. July 2012 - Present
Samuel A. Ramirez & Co., Inc. October 2011 - Present
Goldman Sachs April 2000 - October 2011
NASD June 1996 - March 2000
Skills
FINRA, Middle Office, Hedge Funds, SEC, Equity Trading, Securities, Options, Series 7, AML, Financial Regulation, Trading, Prime Brokerage, Series 63, Capital Markets, Equities, Equity Derivatives, Electronic Trading, Derivatives, Fixed Income, Alternative Investments, Series 24, Trading Systems, ETFs, Broker-Dealer, KYC, Securities Regulation, Investment Banking, USA PATRIOT Act, Financial Markets, OFAC, Bloomberg
Education
Rutgers, The State University of New Jersey-New Brunswick
BA, Economics, English
Seton Hall University
MBA, Finance
Tammi (Tammi Brady) Lerro's NASD Experience August 2002 - Present
Job Teacher at NASD
Industry Education Management
Experience
NASD August 2002 - Present
Charlotte NC 2000 - 2002
Skills
Differentiated..., K-12, Staff Development, Public Speaking, Instructional Design, Language Arts, Classroom Management, Smartboard, Integrating Technology..., Data Driven Instruction, Common Core State..., Thinking Maps, Webquests, Social Studies, Microsoft Office, Curriculum Mapping, Fundraising, Microsoft Excel, Event Planning, Microsoft Word, PowerPoint, Coaching, Professional Learning...
Education
St. Joseph's University 2004 — 2006
Master's degree, Educational Leadership and Administration, General
University of Scranton 1996 — 2000
Bachelor's degree, Elementary Education and Teaching
NASD August 2002 - Present
Charlotte NC 2000 - 2002
Skills
Differentiated..., K-12, Staff Development, Public Speaking, Instructional Design, Language Arts, Classroom Management, Smartboard, Integrating Technology..., Data Driven Instruction, Common Core State..., Thinking Maps, Webquests, Social Studies, Microsoft Office, Curriculum Mapping, Fundraising, Microsoft Excel, Event Planning, Microsoft Word, PowerPoint, Coaching, Professional Learning...
Education
St. Joseph's University 2004 — 2006
Master's degree, Educational Leadership and Administration, General
University of Scranton 1996 — 2000
Bachelor's degree, Elementary Education and Teaching
Jacqueline Denery's NASD Experience 2004 - 2005
Job Financial Services Professional
Industry Financial Services
Experience
Bear Stearns 2005 - 2007
NASD 2004 - 2005
Goldman Sachs 2001 - 2004
Education
Syracuse University - Martin J. Whitman School of Management 1997 — 2001
BA, Finance, MIS
Bear Stearns 2005 - 2007
NASD 2004 - 2005
Goldman Sachs 2001 - 2004
Education
Syracuse University - Martin J. Whitman School of Management 1997 — 2001
BA, Finance, MIS
Audrey Summers's NASD Experience August 2005 - February 2009
Job Payroll Manager at CVRM
Industry Accounting
Experience
CVRM November 2013 - Present
Treliant Risk Advisors October 2012 - Present
AARP Financial January 2009 - Present
ASRC Federal Holding Co March 2011 - October 2012
Children’s National Medical Center February 2009 - March 2011
NASD August 2005 - February 2009
Paychek August 2003 - May 2005
AARP August 1999 - September 2003
Skills
Payroll, Accounting, Accounts Payable, Payroll Taxes, QuickBooks, General Ledger, Account Reconciliation, Accounts Receivable
Education
PGCC 2013 — 2013
CPP
The George Washington University
Dunbar High School
Graduate
CVRM November 2013 - Present
Treliant Risk Advisors October 2012 - Present
AARP Financial January 2009 - Present
ASRC Federal Holding Co March 2011 - October 2012
Children’s National Medical Center February 2009 - March 2011
NASD August 2005 - February 2009
Paychek August 2003 - May 2005
AARP August 1999 - September 2003
Skills
Payroll, Accounting, Accounts Payable, Payroll Taxes, QuickBooks, General Ledger, Account Reconciliation, Accounts Receivable
Education
PGCC 2013 — 2013
CPP
The George Washington University
Dunbar High School
Graduate
Steven Moreland's NASD Experience October 1979 - June 1981
Job Managing Partner
Industry Real Estate
Experience
Self-employed 1997 - Present
William R. Gullette, Attorney @ Law March 1991 - May 1995
T. Geimer Securities August 1981 - May 1985
NASD October 1979 - June 1981
Skills
Negotiation, Due Diligence, Real Estate
Education
University of Colorado School of Law 1987 — 1990
Juris Doctor (J.D.), Law, Once again I passed!
University of Colorado Boulder - Leeds School of Business 1974 — 1978
Bachelor's Degree, Business Finance/Real Estate, I passed!
Self-employed 1997 - Present
William R. Gullette, Attorney @ Law March 1991 - May 1995
T. Geimer Securities August 1981 - May 1985
NASD October 1979 - June 1981
Skills
Negotiation, Due Diligence, Real Estate
Education
University of Colorado School of Law 1987 — 1990
Juris Doctor (J.D.), Law, Once again I passed!
University of Colorado Boulder - Leeds School of Business 1974 — 1978
Bachelor's Degree, Business Finance/Real Estate, I passed!
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
FINRA