NASD/FINRA Company

Industry: Non-governmental organization

Description

In the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Tax ID: 53-0088710 Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C. CEO: Robert W. Cook (Aug 2016–) Founded: July 30, 2007 Number of employees: 3,400

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NASD/FINRA Employees

Employee
Years
Job
Industry
Ellen Badinelli Ellen Badinelli Greater New York City Area Details
Ellen Badinelli's NASD/FINRA Experience March 2002 - Present
Job ScanAvert CEO:Chief Enthusiast & Owner
Industry Telecommunications
Experience
ScanAvert, Inc.   March 2002 - Present
NASD/FINRA   March 2002 - Present
NYSE  1988 - 1996
E F Hutton  1987 - 1988
American Stock Exchange  1985 - 1987
NASDAQ  1984 - 1985
J J Lowrey & Co   1983 - 1984

Education
State University of New York College at Oneonta   1979 — 1983
BS

CHSN

Clarkstown High School South

Thomas Weaverling Thomas Weaverling Washington D.C. Metro Area Details
Thomas Weaverling's NASD/FINRA Experience November 1999 - October 2005
Job Director at FINRA, Inc.
Industry Nonprofit Organization Management
Experience
FINRA, Inc.   November 2013 - Present
Financial Industry Regulatory Authority (FINRA)   October 2005 - November 2013
NASD/FINRA   November 1999 - October 2005
Deltek  June 1997 - November 1999
Crown Communications  November 1993 - June 1997
United States Air Force  June 1986 - January 1990

Skills
SDLC, FINRA, Risk Management, Financial Services, User Acceptance Testing, Quality Assurance, Process Improvement, Requirements Analysis, System Testing, Business Process, Business Analysis, Analysis, Business Process..., Requirements Gathering, PMO, Agile Methodologies, Enterprise Architecture, Integration, Program Management, Management

Education
University of Maryland University College
BS, Accounting

Jeffrey Holik Jeffrey Holik Washington D.C. Metro Area Details
Jeffrey Holik's NASD/FINRA Experience 1997 - 2006
Job Shareholder at Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
Industry Law Practice
Experience
Shulman, Rogers, Gandal, Pordy & Ecker, P.A.   June 2015 - Present
The PNC Financial Services Group  July 2006 - May 2015
NASD/FINRA   1997 - 2006
Commodity Futures Trading Commission  1992 - 1997
Andrews Kurth LLP  1989 - 1991
Baker & Hostetler LLP  1978 - 1989

Skills
Securities Law and..., Finra, SEC, and CFTC..., Broker-Dealer Governance, Risk Assessment and..., Broker-Dealer and..., Finra New and..., Statutory..., Customer Complaint..., FINRA, Compliance, SEC, Broker-Dealer, Securities, Securities Regulation, OFAC, Series 24, Wealth Management, Risk Assessment, Civil Litigation, AML, Investment Advisers Act, Corporate Governance, Dodd-Frank, Financial Regulation, Financial Risk, Internal Investigations, Due Diligence, Hedge Funds, Series 7, Investments, Litigation, Private Equity, Mutual Funds, Alternative Investments, Equities, Capital Markets, Fixed Income, Legal Compliance, Policy

Education
The George Washington University Law School   1975 — 1978
JD

Union College   1971 — 1975
BA, Political Science

Chet Payne Chet Payne Norcross, Georgia Details
Chet Payne's NASD/FINRA Experience March 1999 - March 2004
Job Former Executive Vice President/COO & CCO
Industry Financial Services
Experience
Triad Advisors, Inc.   October 2005 - January 2015
Synovus  March 2004 - October 2005
NASD/FINRA   March 1999 - March 2004

Skills
Financial Services..., Auditing, Process and Procedures, Financial Services..., FINRA/SEC Regulations, Business Strategy, Asset Management, Securities, Investments, Wealth Management, Mutual Funds

Education
University of Central Florida
BSBA, Accounting and Finance

Monica Levy Rowland Monica Levy Rowland Chicago, Illinois Details
Monica Levy Rowland's NASD/FINRA Experience 2007 - 2007
Job Looking for new opportunities!
Industry Staffing and Recruiting
Experience
Grainger  April 2015 - Present
Black Lily Consulting LLC.   2007 - Present
Cleversafe  July 2014 - February 2015
CNA Insurance  June 2014 - July 2014
Chicago Public Schools  April 2014 - June 2014
Accel Corporation   2013 - 2014
CoStar Group  2013 - 2013
AOL  2012 - 2012
Navistar Inc  2008 - 2009
NASD/FINRA   2007 - 2007

Skills
Recruiting, Talent Management, Employee Relations, Sourcing, Human Resources, Interviews, Program Management, Training, Leadership, HRIS, Social Media, Strategy, Sales, Temporary Placement, Employee Benefits, Blogging, Facebook, Technical Recruiting, Customer Service, Applicant Tracking..., Talent Acquisition, College Recruiting, Internet Recruiting, Executive Search, Taleo, Team Building, Management, Contract Recruitment, Resume Writing, Business Development, Strategic Planning, Employee Engagement, Negotiation, Screening Resumes, Staffing Services, Account Management, Employee Training, Marketing, Social Media Marketing, Onboarding, HR Consulting, Recruitment Advertising, New Business Development, Business Analysis, Career Development, Job Descriptions, Coaching, Benefits Negotiation, PeopleSoft, Networking

Education
The Chicago School of Professional Psychology   2010 — 2011
Master of Arts (M.A.), Child and Adolescent Psychology

University of Pittsburgh   1991 — 1994
B.A., Legal Studies

Howard University   1986 — 1990
Marketing

St. Paul's Cathedral High School   1982 — 1986
Diploma, College Prep

Anthony Savarese Anthony Savarese Greater New York City Area Details
Anthony Savarese's NASD/FINRA Experience October 1999 - June 2005
Job Sr. Compliance Specialist at ITG
Industry Financial Services
Experience
ITG Inc  February 2010 - Present
Miletus Trading, LLC   June 2005 - January 2008
NASD/FINRA   October 1999 - June 2005

Skills
Equities, Securities, FINRA, Trading, Electronic Trading, Options, Trading Systems, Equity Trading, Mutual Funds, Securities Regulation, New Rule Implementation, Alternative Trading..., Best Execution, Direct Market Access, Trading Surveillance, High Frequency Trading, Research Reviews, Policies and Procedures, OATS, Compliance, Series 4, 7, 24, 87, Hedge Funds, Corporate Finance, Series 24, Capital Markets, Series 7, Fixed Income, Anti Money Laundering, Financial Services, Derivatives

Education
Fordham Gabelli School of Business   2002 — 2006
MBA

St. John's University - Peter J. Tobin College of Business   1994 — 1999
B.S.

Narendra Krishnappa Narendra Krishnappa Washington D.C. Metro Area Details
Narendra Krishnappa's NASD/FINRA Experience February 2004 - Present
Job Senior Consultant at FINRA
Industry Computer Software
Experience
NASD/FINRA   February 2004 - Present
FINRA  2004 - Present
EDS  January 2004 - March 2007
Nasdaq  June 1999 - January 2004

Skills
Agile Methodologies, SDLC, Enterprise Architecture, SOA, Software Project..., Data Warehousing, Web Services, Software Development, SQL, Requirements Analysis, Oracle

Education
Gulbarga University
BS, Computer Science

Linda Madryk Linda Madryk Greater Chicago Area Details
Linda Madryk's NASD/FINRA Experience March 2004 - September 2007
Job Experienced compliance examiner
Industry Financial Services
Experience
NASD/FINRA   March 2004 - September 2007
FINRA (Financial Industry Regulatory Authority), formerly NASD   2004 - 2007
State of Arizona  October 2000 - February 2004
Bank One/Banc One Securities   April 1995 - July 2000

Education
Arizona State University   1984 — 1986
M.S., Educational Technology

Stephen Patrick Glascoe Stephen Patrick Glascoe Washington, District Of Columbia Details
Stephen Patrick Glascoe's NASD/FINRA Experience January 1985 - December 1991
Job Senior Market Surveillance Specialist Center for Risk and Quantitative Analytics (CRQA)
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission   September 2013 - Present
U.S. Securities and Exchange Commission   July 2000 - September 2013
Deutsche Bank Alex. Brown Inc.   May 1992 - September 1998
NASD/FINRA   January 1985 - December 1991
Merrill Lynch, Pierce, Fenner & Smith, Inc.   September 1982 - January 1985

Skills
Risk Management, Securities, Surveillance, Capital Markets, Public Speaking, Fraud, Business Strategy, Securities Regulation, PowerPoint, Strategic Planning, Nonprofits, Investments, Microsoft Excel, Customer Service, FINRA, Hedge Funds, Financial Regulation, Corporate Governance, Legal Research

Education
Hampton University   1978 — 1982
B.S., Business - Marketing

Baltimore Polytechnic Institute   1975 — 1978
Mathematics, Science and Engineering.

John Linnehan, CFA John Linnehan, CFA Washington D.C. Metro Area Details
John Linnehan, CFA's NASD/FINRA Experience November 1994 - July 2004
Job
Industry Legal Services
Experience
Economic Analysis Group, Ltd.   February 2005 - Present
NASD/FINRA   November 1994 - July 2004
NASDAQ  December 1987 - November 1994

Education
New York University - Leonard N. Stern School of Business   1972 — 1976
MBA, Accounting; Professional Ctf.-Taxation

Saint Bonaventure University   1967 — 1971
BA, English literature

Trinity College Dublin   1969 — 1970
Junior Year, Liberal Arts

Vlad Uchenik Vlad Uchenik Greater New York City Area Details
Vlad Uchenik's NASD/FINRA Experience September 1997 - November 1999
Job CEO/CCO at Sageworks Capital, Inc.
Industry Financial Services
Experience
Raiseworks   May 2013 - Present
EagleView Securities, Inc./EagleView Advisors, Inc.   December 2014 - August 2015
iTB Holdings Inc.   March 2011 - January 2014
InterMerchant Securities, LLC   March 2010 - March 2011
Jesup & Lamont  October 2008 - December 2009
Safdie Investment Services Corp.   May 2005 - October 2008
US Trust  November 2003 - May 2005
BBVA Securities Corp.   August 2001 - November 2003
Security Financial Network, LLC   November 1999 - August 2001
NASD/FINRA   September 1997 - November 1999

Skills
Over 15 years of..., FINRA Series 4, 7, 24,..., Equities, Securities, Series 7, Trading, Hedge Funds, Risk Management, Fixed Income, Capital Markets, Asset Management, Alternative Investments, Investments, Series 24, Private Placements, Business Communications, Drafting Policies

Education
Temple University   1997 — 1999
MBA, Finance, 3.8

Rutgers University   1990 — 1994
Bachelor of Science (BS), Business Management, 3.4

James Neill James Neill Greater New York City Area Details
James Neill's NASD/FINRA Experience September 1997 - November 2006
Job Compliance Director at J. P. Morgan Chase
Industry Financial Services
Experience
J. P. Morgan Chase   August 2010 - Present
RCRS: Response Compliance and Regulatory Services   2008 - Present
RCRS  May 2006 - Present
HR&A Advisors  March 2007 - January 2009
NASD/FINRA   September 1997 - November 2006

Education
University of Notre Dame   1986 — 1990
BA, Philosophy

Jesse Kitchens Jesse Kitchens Greater Minneapolis-St. Paul Area Details
Jesse Kitchens's NASD/FINRA Experience October 1996 - December 1999
Job Licensing Compliance Professional
Industry Financial Services
Experience
Ameriprise Financial Services, Inc.   June 2011 - April 2012
LaBranche Structured Products / LaBranche & Co   March 2005 - October 2007
Preferred Capital Markets, Inc   December 1999 - March 2005
NASD/FINRA   October 1996 - December 1999

Skills
Equities, SEC, Mutual Funds, AML, Options, Series 7, Securities Regulation, Regulations

Education
Bloomfield College   2005 — 2009
BS

Art Institute of Philadelphia   1993 — 1995
Associate Degree

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