NASD Regulation
Industry: Company
DescriptionFounded: 1996 Parent organization: Financial Industry Regulatory Authority
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NASD Regulation Employees
Employee
Years
Job
Industry
Kristen Conway, CAMS Kristen Conway, CAMS's NASD Regulation Experience 1999 - 2003
Job Compliance Specialist
Industry Financial Services
Experience
Financial Crimes Enforcement Network (FinCEN), US Department of the Treasury November 2012 - Present
Financial Industry Regulatory Authority 2003 - November 2012
NASD Regulation 1999 - 2003
NASD Regulation 1997 - 1999
NASD Regulation 1996 - 1997
NASD, Inc. 1993 - 1996
Skills
Compliance, Financial Crimes..., Fraud, Securities Fraud, Securities Regulation, AML, Due Diligence, KYC, Securities, FINRA, Enforcement, Research, Writing, Investigation, Analysis, Legal Writing, Financial Regulation, Private Investigations
Education
The George Washington University - School of Business 1998 — 2002
Master of Business Administration (MBA), Finance, General
The University of Texas at Austin - The Red McCombs School of Business 1988 — 1992
Bachelor of Business Administration (BBA), Finance, General
Financial Crimes Enforcement Network (FinCEN), US Department of the Treasury November 2012 - Present
Financial Industry Regulatory Authority 2003 - November 2012
NASD Regulation 1999 - 2003
NASD Regulation 1997 - 1999
NASD Regulation 1996 - 1997
NASD, Inc. 1993 - 1996
Skills
Compliance, Financial Crimes..., Fraud, Securities Fraud, Securities Regulation, AML, Due Diligence, KYC, Securities, FINRA, Enforcement, Research, Writing, Investigation, Analysis, Legal Writing, Financial Regulation, Private Investigations
Education
The George Washington University - School of Business 1998 — 2002
Master of Business Administration (MBA), Finance, General
The University of Texas at Austin - The Red McCombs School of Business 1988 — 1992
Bachelor of Business Administration (BBA), Finance, General
Adam Lock, CSW, CSS, WSET 2 Adam Lock, CSW, CSS, WSET 2's NASD Regulation Experience December 1999 - August 2002
Job Field Sales Manager (Constellation Brands)
Industry Wine and Spirits
Experience
Constellation Brands January 2013 - Present
Glazer's Distributors June 2004 - December 2012
Everett's August 2002 - May 2004
NASD Regulation December 1999 - August 2002
Skills
Marketing Strategy, Customer Service, Market Planning, Problem Solving, Profit, Training & Development, Wine Education, Wine Tasting
Education
University of Missouri-Columbia 2002 — 2004
MBA, Marketing
University of Missouri-Columbia, College of Business 1995 — 1999
B.S. Business Administration, Management
Constellation Brands January 2013 - Present
Glazer's Distributors June 2004 - December 2012
Everett's August 2002 - May 2004
NASD Regulation December 1999 - August 2002
Skills
Marketing Strategy, Customer Service, Market Planning, Problem Solving, Profit, Training & Development, Wine Education, Wine Tasting
Education
University of Missouri-Columbia 2002 — 2004
MBA, Marketing
University of Missouri-Columbia, College of Business 1995 — 1999
B.S. Business Administration, Management
Carolyn Kelley Klinger Carolyn Kelley Klinger's NASD Regulation Experience April 1998 - February 2000
Job Technical Writer at Leidos Biomedical Research, Inc., Frederick National Laboratory for Cancer Research
Industry Computer Software
Experience
Leidos Biomedical Research, Inc. January 2015 - Present
Self-Employed 2001 - Present
Self-employed January 2006 - February 2015
STC Washington, DC - Baltimore Chapter January 2014 - December 2014
EMC Corporation May 2003 - January 2006
Self-Employed December 2002 - May 2003
KBM Group May 2001 - December 2002
SpaceWorks February 2000 - May 2001
NASD Regulation April 1998 - February 2000
Electronic Learning Facilitators 1997 - 1998
Skills
Technical Communication, Online Help, Technical Documentation, Manuals, Software Documentation, RoboHelp, FrameMaker, Technical Writing, Team Leadership, Accessibility, Information Architecture, Content Management, Visio, Editing, HTML, Adobe Acrobat, Proposal Writing, E-Learning, Instructional Design, Single Sourcing, Usability, Content Development, User Interface Design, Technical Training, CMS, XML, Event Management, Instructor-led Training, Web Content, Captivate, SnagIt, Document Management, Training, Content Strategy, Section 508, Usability Testing, Web Content Management, White Papers, Publications, Release Notes, Online Help Development, Technical Editing, Information Design, MadCap Flare, XMetal, DITA, Information Mapping, Wikis, Teamwork, Structured Authoring
Education
University of Maryland 1991 — 1994
MA, Geography
University of North Carolina at Chapel Hill 1988 — 1990
BA, International Studies and German with a concentration in Geography
Boston College 1985 — 1987
none, German
Leidos Biomedical Research, Inc. January 2015 - Present
Self-Employed 2001 - Present
Self-employed January 2006 - February 2015
STC Washington, DC - Baltimore Chapter January 2014 - December 2014
EMC Corporation May 2003 - January 2006
Self-Employed December 2002 - May 2003
KBM Group May 2001 - December 2002
SpaceWorks February 2000 - May 2001
NASD Regulation April 1998 - February 2000
Electronic Learning Facilitators 1997 - 1998
Skills
Technical Communication, Online Help, Technical Documentation, Manuals, Software Documentation, RoboHelp, FrameMaker, Technical Writing, Team Leadership, Accessibility, Information Architecture, Content Management, Visio, Editing, HTML, Adobe Acrobat, Proposal Writing, E-Learning, Instructional Design, Single Sourcing, Usability, Content Development, User Interface Design, Technical Training, CMS, XML, Event Management, Instructor-led Training, Web Content, Captivate, SnagIt, Document Management, Training, Content Strategy, Section 508, Usability Testing, Web Content Management, White Papers, Publications, Release Notes, Online Help Development, Technical Editing, Information Design, MadCap Flare, XMetal, DITA, Information Mapping, Wikis, Teamwork, Structured Authoring
Education
University of Maryland 1991 — 1994
MA, Geography
University of North Carolina at Chapel Hill 1988 — 1990
BA, International Studies and German with a concentration in Geography
Boston College 1985 — 1987
none, German
Pamela M Burdick Pamela M Burdick's NASD Regulation Experience May 1988 - December 1998
Job Business Owner, Pamela M. Burdick, Esq.
Industry Law Practice
Experience
Pamela M. Burdick, Esq. January 1999 - Present
Attorney 1999 - Present
NASD Regulation May 1988 - December 1998
Broward Public Defender's Office 17th Judicial Circuit 1980 - 1985
Skills
Elder Law, Guardianship, Trusts, Estate Administration, Wills, Powers of Attorney, Estate Planning, Courts, Legal Research, Asset Protection, Legal Writing, Legal Assistance, Long-term Care, Medicaid, Trials, Dispute Resolution, Special Needs Trusts, Motions, Arbitration, Dispute, Hearings, Trial Practice
Education
Nova Southeastern University 1978 — 1980
JD, Law
Nova Southeastern University Shepard Broad College of Law 1977 — 1980
Juris Doctor, Law
University of Florida 1963 — 1972
Bachelor of Design, Design & Architecture
Pamela M. Burdick, Esq. January 1999 - Present
Attorney 1999 - Present
NASD Regulation May 1988 - December 1998
Broward Public Defender's Office 17th Judicial Circuit 1980 - 1985
Skills
Elder Law, Guardianship, Trusts, Estate Administration, Wills, Powers of Attorney, Estate Planning, Courts, Legal Research, Asset Protection, Legal Writing, Legal Assistance, Long-term Care, Medicaid, Trials, Dispute Resolution, Special Needs Trusts, Motions, Arbitration, Dispute, Hearings, Trial Practice
Education
Nova Southeastern University 1978 — 1980
JD, Law
Nova Southeastern University Shepard Broad College of Law 1977 — 1980
Juris Doctor, Law
University of Florida 1963 — 1972
Bachelor of Design, Design & Architecture
Amrita Mattoo Thapa, CFA Amrita Mattoo Thapa, CFA's NASD Regulation Experience February 1997 - August 1999
Job Corporate Vice President at New York Life
Industry Investment Management
Experience
New York Life February 2011 - Present
New York Life International March 2008 - February 2011
New York Life International June 2003 - March 2008
New York Life January 2003 - July 2003
New York Life April 2002 - December 2002
New York Life August 2001 - March 2002
New York Life June 2001 - August 2001
NASD Regulation February 1997 - August 1999
Skills
Project Management, Fixed Income, Asset Allocation, Financial Modeling, Valuation, Investments, Risk Management, Portfolio Management, Derivatives, Mergers & Acquisitions, Financial Risk, Finance, Analysis, Investment Strategies, Competitive Analysis, Insurance, Due Diligence, Wealth Management, Equities
Education
New York University - Leonard N. Stern School of Business 1999 — 2001
MBA
University of Maryland - Robert H. Smith School of Business 1992 — 1995
BS
Eleanor Roosevelt High 1989 — 1992
New York Life February 2011 - Present
New York Life International March 2008 - February 2011
New York Life International June 2003 - March 2008
New York Life January 2003 - July 2003
New York Life April 2002 - December 2002
New York Life August 2001 - March 2002
New York Life June 2001 - August 2001
NASD Regulation February 1997 - August 1999
Skills
Project Management, Fixed Income, Asset Allocation, Financial Modeling, Valuation, Investments, Risk Management, Portfolio Management, Derivatives, Mergers & Acquisitions, Financial Risk, Finance, Analysis, Investment Strategies, Competitive Analysis, Insurance, Due Diligence, Wealth Management, Equities
Education
New York University - Leonard N. Stern School of Business 1999 — 2001
MBA
University of Maryland - Robert H. Smith School of Business 1992 — 1995
BS
Eleanor Roosevelt High 1989 — 1992
Mac Brown's NASD Regulation Experience 1998 - 2000
Job Risk Analyst at ABN AMRO
Industry Banking
Experience
Royal Bank of Scotland December 2009 - April 2010
ABN AMRO April 2006 - December 2009
Driehaus Capital Management 2002 - 2004
International Profit Associates 2000 - 2002
NASD Regulation 1998 - 2000
Skills
Financial Risk, Banking, Commercial Banking, Basel II, Operational Risk..., Operational Risk, Credit Risk, AML, FX Options
Education
Eastern Illinois University 1993 — 1995
MBA, Finance
University of Illinois at Urbana-Champaign 1986 — 1992
Bachelor of Arts, Economics
Royal Bank of Scotland December 2009 - April 2010
ABN AMRO April 2006 - December 2009
Driehaus Capital Management 2002 - 2004
International Profit Associates 2000 - 2002
NASD Regulation 1998 - 2000
Skills
Financial Risk, Banking, Commercial Banking, Basel II, Operational Risk..., Operational Risk, Credit Risk, AML, FX Options
Education
Eastern Illinois University 1993 — 1995
MBA, Finance
University of Illinois at Urbana-Champaign 1986 — 1992
Bachelor of Arts, Economics
Yvette Bradle's NASD Regulation Experience November 1995 - July 1999
Job Compliance Trainer at FINRA
Industry Financial Services
Experience
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
FINRA January 2007 - Present
FINRA (Financial Industry Regulatory Authority), formerly NASD 2007 - Present
NASD November 2001 - January 2007
NASD July 1999 - November 2001
NASD Regulation November 1995 - July 1999
NASD Regulation March 1993 - November 1995
Salomon Brothers Inc. July 1992 - February 1993
Education
Montgomery College 1995 — 1999
Associate of Applied Science in Paralegal Studies, Paralegal Studies
University of Maryland University College
Lyle Brooks's NASD Regulation Experience 1996 - 1999
Job Computer Software Professional
Industry Computer Software
Experience
L-3 Communications Integrated Systems October 2007 - Present
AOL 2007 - 2007
America Online 2007 - 2007
Democratic National Committee 2004 - 2006
Blackboard 2000 - 2004
NASD Regulation 1996 - 1999
Universal Systems Inc (later Integic then Northrop Grumman) October 1994 - March 1996
SHL Systemhouse 1988 - 1991
Skills
Unix, JavaScript, Linux, Servers, Agile Methodologies, Oracle, Perl, Java, Management, ASP, Software Development, Apache, Integration, Program Management
Education
University of Mary Washington 1980 — 1984
BS, Computer Science, Physics, Mathematics
Culpeper County High School 1977 — 1980
HS Diploma
L-3 Communications Integrated Systems October 2007 - Present
AOL 2007 - 2007
America Online 2007 - 2007
Democratic National Committee 2004 - 2006
Blackboard 2000 - 2004
NASD Regulation 1996 - 1999
Universal Systems Inc (later Integic then Northrop Grumman) October 1994 - March 1996
SHL Systemhouse 1988 - 1991
Skills
Unix, JavaScript, Linux, Servers, Agile Methodologies, Oracle, Perl, Java, Management, ASP, Software Development, Apache, Integration, Program Management
Education
University of Mary Washington 1980 — 1984
BS, Computer Science, Physics, Mathematics
Culpeper County High School 1977 — 1980
HS Diploma
Jean Marie Farkas's NASD Regulation Experience 1999 - 2005
Job Financial Services Professional
Industry Financial Services
Experience
FINRA fna NASD Regulation December 1999 - October 2005
NASD Regulation 1999 - 2005
GMAC Commercial Mortgage 1995 - 1999
Skills
Financial Analysis, Loans, Due Diligence, Asset Management, Portfolio Management, Mortgage Lending, Risk Management, Credit, Banking, Underwriting, PowerPoint, Credit Risk, Insurance, Structured Finance, Financial Modeling
Education
Temple University - Fox School of Business and Management 1988 — 1993
Temple University - Fox School of Business and Management 1988 — 1992
John W. Hallahan High School 1984 — 1988
FINRA fna NASD Regulation December 1999 - October 2005
NASD Regulation 1999 - 2005
GMAC Commercial Mortgage 1995 - 1999
Skills
Financial Analysis, Loans, Due Diligence, Asset Management, Portfolio Management, Mortgage Lending, Risk Management, Credit, Banking, Underwriting, PowerPoint, Credit Risk, Insurance, Structured Finance, Financial Modeling
Education
Temple University - Fox School of Business and Management 1988 — 1993
Temple University - Fox School of Business and Management 1988 — 1992
John W. Hallahan High School 1984 — 1988
Sumita Ashrafi's NASD Regulation Experience 1997 - 2001
Job Director & Assistant General Counsel at Capital One
Industry Capital Markets
Experience
Capital One April 2012 - Present
Oyster Consulting, LLC September 2009 - March 2012
ICMA-Retirement Corporation August 2008 - April 2009
Wachovia Securities June 2005 - July 2008
TD WATERHOUSE INVESTOR SERVICES, INC. 2001 - 2003
Laderburg Thallman 2000 - 2001
NASD Regulation 1997 - 2001
Skills
Series 7, FINRA, Equities, Securities, Series 63, Mutual Funds, Securities Regulation, Capital Markets, AML, Investment Advisory, Hedge Funds, Series 24, Trading, Asset Management, Equity Trading, Fixed Income, Trusts, Anti Money Laundering
Education
West Virginia University College of Law 1989 — 1992
Juris Doctor
Boston College 1984 — 1988
Bachelor of Arts (B.A.), Political Science
West Virginia University College of Law
Juris Doctor
Capital One April 2012 - Present
Oyster Consulting, LLC September 2009 - March 2012
ICMA-Retirement Corporation August 2008 - April 2009
Wachovia Securities June 2005 - July 2008
TD WATERHOUSE INVESTOR SERVICES, INC. 2001 - 2003
Laderburg Thallman 2000 - 2001
NASD Regulation 1997 - 2001
Skills
Series 7, FINRA, Equities, Securities, Series 63, Mutual Funds, Securities Regulation, Capital Markets, AML, Investment Advisory, Hedge Funds, Series 24, Trading, Asset Management, Equity Trading, Fixed Income, Trusts, Anti Money Laundering
Education
West Virginia University College of Law 1989 — 1992
Juris Doctor
Boston College 1984 — 1988
Bachelor of Arts (B.A.), Political Science
West Virginia University College of Law
Juris Doctor
Denean Pillar-Jackson's NASD Regulation Experience June 1995 - February 1998
Job Associate Director, Partner Relations Year Up Chicago
Industry Program Development
Experience
Year Up July 2010 - Present
TeachOne Yoga September 2009 - Present
Employ America August 2004 - July 2010
Loop Capital Markets February 1998 - August 2004
NASD Regulation June 1995 - February 1998
Option Funding Group June 1992 - June 1995
Skills
Public Speaking, Non-profits, Strategic Planning, Social Media Marketing, Research, Social Media, Training, Project Management, Risk Management, Event Planning, Customer Service, PowerPoint, Business Strategy
Education
Illinois Institute of Technology
Masters of Science, Finance, Financial Markets and Trading
Hampton University
Bachelor of Science, Finance
Kenwood Academy
ray
Year Up July 2010 - Present
TeachOne Yoga September 2009 - Present
Employ America August 2004 - July 2010
Loop Capital Markets February 1998 - August 2004
NASD Regulation June 1995 - February 1998
Option Funding Group June 1992 - June 1995
Skills
Public Speaking, Non-profits, Strategic Planning, Social Media Marketing, Research, Social Media, Training, Project Management, Risk Management, Event Planning, Customer Service, PowerPoint, Business Strategy
Education
Illinois Institute of Technology
Masters of Science, Finance, Financial Markets and Trading
Hampton University
Bachelor of Science, Finance
Kenwood Academy
ray
Timothy Woods's NASD Regulation Experience April 1997 - July 2000
Job CCO and Counsel at HighTower
Industry Financial Services
Experience
HighTower Advisors May 2011 - Present
Navigant Consulting May 2008 - December 2010
ABN AMRO Asset Management November 2005 - May 2008
Key Bank McDonald Investments November 2002 - October 2005
KeyBank NA July 2000 - November 2002
NASD Regulation April 1997 - July 2000
Mellon Mortgage 1995 - 1997
Skills
Procedures manuals, Legal research, Surveillance, Writing, Investment Advisory, Banking, Securities, AML, Hedge Funds, FINRA, Series 7, Asset Managment, Alternative Investments, Capital Markets, Wealth Management, Mutual Funds, Investments, Asset Management, Policy, Financial Services
Education
Cleveland State University - Cleveland-Marshall College of Law 2001 — 2005
Doctor of Law (JD), Law
Cleveland State University 2000 — 2001
MBA, Finance
Michigan State University 1985 — 1990
Pre-Law, Economics
Lansing Sexton 1983 — 1985
High School Diploma, College Prep
HighTower Advisors May 2011 - Present
Navigant Consulting May 2008 - December 2010
ABN AMRO Asset Management November 2005 - May 2008
Key Bank McDonald Investments November 2002 - October 2005
KeyBank NA July 2000 - November 2002
NASD Regulation April 1997 - July 2000
Mellon Mortgage 1995 - 1997
Skills
Procedures manuals, Legal research, Surveillance, Writing, Investment Advisory, Banking, Securities, AML, Hedge Funds, FINRA, Series 7, Asset Managment, Alternative Investments, Capital Markets, Wealth Management, Mutual Funds, Investments, Asset Management, Policy, Financial Services
Education
Cleveland State University - Cleveland-Marshall College of Law 2001 — 2005
Doctor of Law (JD), Law
Cleveland State University 2000 — 2001
MBA, Finance
Michigan State University 1985 — 1990
Pre-Law, Economics
Lansing Sexton 1983 — 1985
High School Diploma, College Prep
Donna Nichols, PMP's NASD Regulation Experience 1999 - 2000
Job Consultant at Randstad Technologies US
Industry Computer Software
Experience
Randstad Technologies US March 2012 - Present
Freddie Mac 2010 - 2011
Freddie Mac 2008 - 2010
Freddie Mac 2006 - 2008
ProLink Services 2005 - 2006
ProLink Services 2004 - 2004
EDS Group 2000 - 2004
NASD Regulation 1999 - 2000
Chevy Chase Bank 1995 - 1999
MCI, Inc. 1993 - 1995
Skills
SDLC, Business Analysis, Program Management, Project Management, Business Process, Software Documentation, Requirements Gathering, Software Development, Testing, PMO, Requirements Analysis, Business Intelligence, Business Requirements, Project Planning, Analysis, Data Warehousing, PMP, Management, Leadership, Enterprise Software, Oracle, Strategy
Education
University of Maryland College Park
BS, Education
Randstad Technologies US March 2012 - Present
Freddie Mac 2010 - 2011
Freddie Mac 2008 - 2010
Freddie Mac 2006 - 2008
ProLink Services 2005 - 2006
ProLink Services 2004 - 2004
EDS Group 2000 - 2004
NASD Regulation 1999 - 2000
Chevy Chase Bank 1995 - 1999
MCI, Inc. 1993 - 1995
Skills
SDLC, Business Analysis, Program Management, Project Management, Business Process, Software Documentation, Requirements Gathering, Software Development, Testing, PMO, Requirements Analysis, Business Intelligence, Business Requirements, Project Planning, Analysis, Data Warehousing, PMP, Management, Leadership, Enterprise Software, Oracle, Strategy
Education
University of Maryland College Park
BS, Education
Anita Zigman's NASD Regulation Experience 1998 - 1999
Job Chief Legal Personnel Officer at Paul, Weiss, Rifkind, Wharton & Garrison LLP
Industry Law Practice
Experience
Paul, Weiss, Rifkind, Wharton & Garrison LLP 2005 - Present
Proskauer Rose LLP 2000 - 2005
Brown & Wood 1999 - 2000
NASD Regulation 1998 - 1999
Proskauer Rose LLP 1984 - 1998
Columbia Artists Management 1977 - 1980
Skills
Talent Management, Career Development, Litigation, Human Resources, Leadership Development, Recruiting, Management, Performance Management, Leadership, Organizational..., Coaching, Staff Development, Commercial Litigation, Employment Law
Education
New York Law School 1981 — 1984
J.D.
State University of New York at Buffalo
B.A., Music
Paul, Weiss, Rifkind, Wharton & Garrison LLP 2005 - Present
Proskauer Rose LLP 2000 - 2005
Brown & Wood 1999 - 2000
NASD Regulation 1998 - 1999
Proskauer Rose LLP 1984 - 1998
Columbia Artists Management 1977 - 1980
Skills
Talent Management, Career Development, Litigation, Human Resources, Leadership Development, Recruiting, Management, Performance Management, Leadership, Organizational..., Coaching, Staff Development, Commercial Litigation, Employment Law
Education
New York Law School 1981 — 1984
J.D.
State University of New York at Buffalo
B.A., Music
David Persenaire's NASD Regulation Experience March 1996 - August 1998
Job AVP at Morgan Stanley Smith Barney
Industry Financial Services
Experience
Morgan Stanley Smith Barney July 2010 - Present
Terra Nova Financial November 2007 - November 2009
Cochran Caronia Waller April 2006 - October 2007
Terra Nova Trading November 2004 - April 2006
Wachovia Securities March 2004 - November 2004
Banc One Capital Markets June 2001 - March 2004
ABN Amro August 1998 - June 2001
NASD Regulation March 1996 - August 1998
Everen Securities 1991 - 1996
Skills
FINRA, Fixed Income, Investment Banking, Mortgage Lending, Series 24, Series 63, Series 7, Trading, Equities, AML, Mutual Funds, Investments, Capital Markets
Education
DePaul University
M.A., Economics
Calvin College
B.A., Economics
Morgan Stanley Smith Barney July 2010 - Present
Terra Nova Financial November 2007 - November 2009
Cochran Caronia Waller April 2006 - October 2007
Terra Nova Trading November 2004 - April 2006
Wachovia Securities March 2004 - November 2004
Banc One Capital Markets June 2001 - March 2004
ABN Amro August 1998 - June 2001
NASD Regulation March 1996 - August 1998
Everen Securities 1991 - 1996
Skills
FINRA, Fixed Income, Investment Banking, Mortgage Lending, Series 24, Series 63, Series 7, Trading, Equities, AML, Mutual Funds, Investments, Capital Markets
Education
DePaul University
M.A., Economics
Calvin College
B.A., Economics
Rob Gleason's NASD Regulation Experience March 1997 - February 1999
Job SVP, Equity Sales Supervisor, Jefferies & Company
Industry Financial Services
Experience
Jefferies & Company March 2007 - Present
Jefferies & Company March 2000 - April 2007
Preferred Capital Markets March 1999 - February 2000
NASD Regulation March 1997 - February 1999
Skills
Series 4, Series 7, Series 24, Series 55, Series 63, Electronic Trading, Equity Trading, Capital Markets, FINRA, Equities, Equity Research, Options, Bloomberg, Fixed Income, Hedge Funds, Investment Banking, Investments, Securities, Trading
Education
Fairleigh Dickinson University 1991 — 1995
BS, Finance
Old Dominion University 1989 — 1991
Jefferies & Company March 2007 - Present
Jefferies & Company March 2000 - April 2007
Preferred Capital Markets March 1999 - February 2000
NASD Regulation March 1997 - February 1999
Skills
Series 4, Series 7, Series 24, Series 55, Series 63, Electronic Trading, Equity Trading, Capital Markets, FINRA, Equities, Equity Research, Options, Bloomberg, Fixed Income, Hedge Funds, Investment Banking, Investments, Securities, Trading
Education
Fairleigh Dickinson University 1991 — 1995
BS, Finance
Old Dominion University 1989 — 1991
Scott Reckamp's NASD Regulation Experience July 1997 - January 1999
Job Vice President at Ares Management
Industry Capital Markets
Experience
Ares Management July 2013 - Present
AREA Property Partners LP June 2011 - June 2013
Securities Network LLC April 2004 - May 2011
Capital Markets Compliance, LLC April 2002 - May 2011
Herenton Capital Partners November 2004 - May 2005
American Securities Group July 2003 - December 2004
World Group Securities April 2002 - May 2002
World Financial Group June 2001 - May 2002
WMA Securities, Inc. January 1999 - April 2002
NASD Regulation July 1997 - January 1999
Skills
AML, FINRA, Hedge Funds, Investments, Banking, Due Diligence, Asset Management, Securities, Venture Capital, Capital Markets, Investment Advisory, SEC, Management, Marketing, Financial Analysis
Education
Berry College 1992 — 1996
B.S. Bus. Administration, Finance
Ares Management July 2013 - Present
AREA Property Partners LP June 2011 - June 2013
Securities Network LLC April 2004 - May 2011
Capital Markets Compliance, LLC April 2002 - May 2011
Herenton Capital Partners November 2004 - May 2005
American Securities Group July 2003 - December 2004
World Group Securities April 2002 - May 2002
World Financial Group June 2001 - May 2002
WMA Securities, Inc. January 1999 - April 2002
NASD Regulation July 1997 - January 1999
Skills
AML, FINRA, Hedge Funds, Investments, Banking, Due Diligence, Asset Management, Securities, Venture Capital, Capital Markets, Investment Advisory, SEC, Management, Marketing, Financial Analysis
Education
Berry College 1992 — 1996
B.S. Bus. Administration, Finance
C Farmer's NASD Regulation Experience 1996 - 1999
Job Department of Justice
Industry Law Practice
Experience
Department of Justice Special AgentFBI1999 - Present
NASD Regulation 1996 - 1999
NASD Regulation 1996 - 1999
Education
University of Kentucky 1984 — 1987
MA, French Literature
Niagara University 1980 — 1984
BA, French
Department of Justice Special AgentFBI1999 - Present
NASD Regulation 1996 - 1999
NASD Regulation 1996 - 1999
Education
University of Kentucky 1984 — 1987
MA, French Literature
Niagara University 1980 — 1984
BA, French
Mari Maloney's NASD Regulation Experience June 1997 - June 1999
Job Attorney and Compliance Professional
Industry Financial Services
Experience
JPMorgan Chase September 2013 - May 2015
JPMorgan Chase July 2011 - August 2013
GE Capital Of Americas September 2010 - July 2011
Standard and Poors June 2007 - September 2010
AIG June 1999 - June 2007
NASD Regulation June 1997 - June 1999
Manhattan District Attorney August 1988 - May 1997
Breed, Abbott & Morgan September 1987 - August 1988
Skills
Banking, AML, Corporate Governance, Corporate Law, Insurance, Financial Risk, Operational Risk..., Policy, Investments, Fraud, Legal Writing, Privacy Law, Structured Finance, Securities Regulation, Private Equity, Litigation Management, Fixed Income, Leadership, Credit Risk, Financial Services, Derivatives, Credit, Securities, Internal Controls, Regulations, Financial Regulation, Financial Institutions, Equities, Portfolio Management, Securitization, Litigation, Asset Management, Risk Management, Due Diligence, Capital Markets, Hedge Funds, Finance, Series 7, Mutual Funds, OFAC, Commercial Litigation, Legal Compliance, Alternative Investments, Investment Banking, FINRA, Mergers & Acquisitions, Licensing, Joint Ventures, Enterprise Risk..., Bankruptcy
Education
Fordham University School of Law 1984 — 1987
JD
College of the Holy Cross 1980 — 1984
BA
Bronxville 1976 — 1980
graduated
JPMorgan Chase September 2013 - May 2015
JPMorgan Chase July 2011 - August 2013
GE Capital Of Americas September 2010 - July 2011
Standard and Poors June 2007 - September 2010
AIG June 1999 - June 2007
NASD Regulation June 1997 - June 1999
Manhattan District Attorney August 1988 - May 1997
Breed, Abbott & Morgan September 1987 - August 1988
Skills
Banking, AML, Corporate Governance, Corporate Law, Insurance, Financial Risk, Operational Risk..., Policy, Investments, Fraud, Legal Writing, Privacy Law, Structured Finance, Securities Regulation, Private Equity, Litigation Management, Fixed Income, Leadership, Credit Risk, Financial Services, Derivatives, Credit, Securities, Internal Controls, Regulations, Financial Regulation, Financial Institutions, Equities, Portfolio Management, Securitization, Litigation, Asset Management, Risk Management, Due Diligence, Capital Markets, Hedge Funds, Finance, Series 7, Mutual Funds, OFAC, Commercial Litigation, Legal Compliance, Alternative Investments, Investment Banking, FINRA, Mergers & Acquisitions, Licensing, Joint Ventures, Enterprise Risk..., Bankruptcy
Education
Fordham University School of Law 1984 — 1987
JD
College of the Holy Cross 1980 — 1984
BA
Bronxville 1976 — 1980
graduated
Amy Jang's NASD Regulation Experience April 1998 - September 2000
Job Principal Examiner at Financial Industry Regulatory Authority
Industry Investment Banking
Experience
Financial Industry Regulatory Authority December 2012 - Present
JMP Securities December 2007 - March 2012
Thomas Weisel Partners 2002 - 2007
Robertson Stephens 2000 - 2002
NASD Regulation April 1998 - September 2000
Federal Aviation Administration October 1991 - May 1994
Skills
Equities, FINRA, Options, Trading, Risk Management, Investments, Due Diligence, AML, SEC, Analysis, Internal Audit, Accounting, Management, Auditing, Series 7
Education
Northwestern University 1995 — 1997
Masters, Economics
University of California, Davis 1981 — 1986
B.S, Managerial Economics
Financial Industry Regulatory Authority December 2012 - Present
JMP Securities December 2007 - March 2012
Thomas Weisel Partners 2002 - 2007
Robertson Stephens 2000 - 2002
NASD Regulation April 1998 - September 2000
Federal Aviation Administration October 1991 - May 1994
Skills
Equities, FINRA, Options, Trading, Risk Management, Investments, Due Diligence, AML, SEC, Analysis, Internal Audit, Accounting, Management, Auditing, Series 7
Education
Northwestern University 1995 — 1997
Masters, Economics
University of California, Davis 1981 — 1986
B.S, Managerial Economics
Francine Tobin's NASD Regulation Experience July 1996 - October 1997
Job Prosecuting Attorney at State of South Carolina, 14th Judicial Circuit
Industry Law Practice
Experience
State of South Carolina November 2006 - Present
Tobin Bone and Joint Surgery, Inc. June 1999 - Present
NASD Regulation July 1996 - October 1997
Schiff Hardin LLP July 1991 - July 1996
Arnold & Porter August 1989 - June 1991
Skills
Legal Research, Legal Advice, Dispute Resolution, Wills, Personal Injury, Family Law, Legal Assistance, Property Law, Dispute, Conveyancing, Employment Law, Professional Negligence, Corporate Law, Intellectual Property
Education
Columbia University School of Law 1986 — 1989
Bachelor of Laws (LL.B.), Law
Fordham University 1982 — 1986
Bachelor of Science (B.S.), Finance, General
State of South Carolina November 2006 - Present
Tobin Bone and Joint Surgery, Inc. June 1999 - Present
NASD Regulation July 1996 - October 1997
Schiff Hardin LLP July 1991 - July 1996
Arnold & Porter August 1989 - June 1991
Skills
Legal Research, Legal Advice, Dispute Resolution, Wills, Personal Injury, Family Law, Legal Assistance, Property Law, Dispute, Conveyancing, Employment Law, Professional Negligence, Corporate Law, Intellectual Property
Education
Columbia University School of Law 1986 — 1989
Bachelor of Laws (LL.B.), Law
Fordham University 1982 — 1986
Bachelor of Science (B.S.), Finance, General
Aaron McInerney's NASD Regulation Experience August 1998 - March 2000
Job Compliance Manager at Salient Partners
Industry Financial Services
Experience
Salient Partners July 2013 - Present
Simmons & Company International June 2012 - June 2013
Penson Financial Services June 2007 - May 2012
E*TRADE Financial March 2000 - September 2006
NASD Regulation August 1998 - March 2000
Skills
Series 7, Series 24, FINRA, Series 63, Securities, Hedge Funds, Equities, Trading, Bloomberg, AML, Capital Markets, Fixed Income, Options, series 55, series 66, Mutual Funds
Education
University of California, Santa Barbara 1993 — 1998
Bachelor, Business Economics
Salient Partners July 2013 - Present
Simmons & Company International June 2012 - June 2013
Penson Financial Services June 2007 - May 2012
E*TRADE Financial March 2000 - September 2006
NASD Regulation August 1998 - March 2000
Skills
Series 7, Series 24, FINRA, Series 63, Securities, Hedge Funds, Equities, Trading, Bloomberg, AML, Capital Markets, Fixed Income, Options, series 55, series 66, Mutual Funds
Education
University of California, Santa Barbara 1993 — 1998
Bachelor, Business Economics
Phil Heidkamp's NASD Regulation Experience 1998 - 1999
Job Managing Director, Compliance at Societe Generale
Industry Investment Banking
Experience
Societe Generale 2011 - Present
FBR Capital Markets 2002 - 2011
American Express Financial Advisors 2002 - 2002
FBR.COM 1999 - 2001
NASD Regulation 1998 - 1999
PaineWebber 1997 - 1998
Smith Barney 1995 - 1997
Skills
Capital Markets, Investment Banking, Research, Control Room, Securities Regulation
Education
Rutgers University-New Brunswick
Bachelor of Arts
The Catholic University of America, Columbus School of Law
Juris Doctor
Societe Generale 2011 - Present
FBR Capital Markets 2002 - 2011
American Express Financial Advisors 2002 - 2002
FBR.COM 1999 - 2001
NASD Regulation 1998 - 1999
PaineWebber 1997 - 1998
Smith Barney 1995 - 1997
Skills
Capital Markets, Investment Banking, Research, Control Room, Securities Regulation
Education
Rutgers University-New Brunswick
Bachelor of Arts
The Catholic University of America, Columbus School of Law
Juris Doctor
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY