National Association of Securities Dealers
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Tax ID: 53-0088710 Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C. CEO: Robert W. Cook (Aug 2016–) Founded: July 30, 2007 Number of employees: 3,400
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National Association of Securities Dealers Employees
Microsoft March 2015 - Present
Microsoft April 2013 - March 2015
Station Casinos February 2009 - March 2013
Station Casinos October 2004 - February 2009
Station Casinos May 2003 - October 2004
Station Casinos January 1997 - March 2003
National Association of Securities Dealers March 1992 - January 1997
National Institute of Standards and Technology June 1987 - January 1992
Skills
Windows, Servers, Integration, Group Policy, Hardware, Active Directory, Gambling, Casino, Windows Server, Team Building, Microsoft SQL Server, Business Intelligence, XP, SQL, Troubleshooting, Standardization, IT Management, Operating Systems, Gaming Industry, Management, Virtualization, Hospitality, Technical Support, Data Center, Security, Cloud Computing, Computer Hardware, Leadership, Software Installation, Help Desk Support, Networking, SAN, System Administration, Training, VMware, Microsoft Exchange, Information Technology, System Deployment, Gaming, Firewalls, Network Security, IIS, SharePoint, Windows XP, Blackberry Enterprise..., DNS, VPN, Network Administration, Microsoft Certified..., Cisco Technologies
Education
Potomac College 1992 — 1997
BS, Microcomputer Systems Management
Montgomery College 1987 — 1991
AA, Electromechanical Systems Engineering Technology
FINRA 2010 - Present
Financial Industry Regulatory Authority 2008 - 2010
Financial Industry Regulatory Authority 2005 - 2008
National Association of Securities Dealers 2003 - 2005
The Adrenaline Group, Inc. 2000 - 2003
Winstar Communications June 1999 - July 2000
SRA International, Inc. July 1994 - May 1999
Education
Rutgers University 1990 — 1994
Bachelors of Science in Electrical Engineering
CIT Group August 2013 - Present
TD November 2012 - August 2013
TD Bank, N.A. April 2011 - August 2013
Deutsche Bank August 2007 - April 2011
Merrill Lynch February 2005 - July 2007
National Association of Securities Dealers July 2004 - January 2005
American Express May 2001 - June 2004
Merrill Lynch September 1999 - April 2001
Republic National Bank of New York June 1991 - September 1999
Skills
Risk Management, Regulations, Business, AML, Sarbanes-Oxley Act, Enterprise Risk..., Financial Risk, Internal Controls, Internal Audit, Auditing, Operational Risk, Operational Risk..., Risk Assessment, KYC
Education
City University of New York-College of Staten Island 1999 — 2004
B.S., Accounting
Saint Peter's Boys High School 1988 — 1989
High School Diploma
Wagner College
SMBC Nikko Securities America December 2012 - Present
Mizuho Securities USA Inc. January 2006 - August 2011
VECTORMEX Incorporated 1993 - 2006
Daiwa Securities America Inc. 1987 - 1993
Prudential-Bache Securities, Inc. 1980 - 1987
National Association of Securities Dealers 1979 - 1980
Skills
AML, FINRA, Financial Regulation, Operational Risk, Trading, Series 7, Securities, Series 24, Series 63, Equities, OFAC, USA PATRIOT Act, KYC, Securities Regulation, Capital Markets, SEC, Anti Money Laundering, Hedge Funds, Fixed Income
Education
University at Albany, SUNY 1977 — 1979
Bachelor of Science, Business and Economics
BD Advisor Consultants, Inc. 2005 - Present
NFP Securities 2003 - 2005
Intersecurities, Inc 1998 - 2003
National Association of Securities Dealers 1986 - 1998
Skills
FINRA, Broker-Dealer, Series 7, Securities, SEC, AML, Financial Services, Insurance, Variable Annuities, Registered Investment..., Series 24, Auditing, Series 63, Mutual Funds, Investment Advisory, Uniform Combined State..., Series 65, Securities Regulation, Series 6, Alternative Investments, Wealth Management, Investments, Anti Money Laundering
Education
American University
Master of Business Administration (MBA), Finance
Georgetown University
Bachelor of Arts (B.A.), Government
US Securities and Exchange Commission October 2003 - Present
The NASDAQ Stock Market March 1998 - October 2003
National Association of Securities Dealers August 1994 - March 1998
Braniff International December 1978 - December 1980
The Sandwich State Bank June 1976 - June 1978
Skills
Securities, Investor Relations, Process Improvement, Financial Analysis, SEC filings, FINRA, Mergers & Acquisitions, Corporate Finance, Accounting, Auditing, Capital Markets, Financial Reporting, Investments, Internal Audit, SEC, Strategic Planning, Hedge Funds, Banking, AML, Corporate Governance, Due Diligence, Finance, Sarbanes-Oxley Act, Financial Modeling, Internal Controls, SEC Filings, Anti Money Laundering
Education
Illinois Wesleyan University 1972 — 1976
BA, Business
Strayer College
Accounting
Shaklee Corporation January 2007 - Present
National Association of Securities Dealers 1987 - 1996
Skills
Coaching, Personal Development, Social Networking, Public Speaking, Team Building, Non-profits, Mentoring, Strategic Planning, Teaching, Fundraising, New Business Development, Entrepreneur, Budgeting, Health, Business Strategy, Problem Solving, Nutrition, Team Leadership, Entrepreneurship, Wellness, Nutritional Counseling, Small Business, Healthcare, Strategy, Training, Event Planning, Time Management, Lifestyle, Nonprofits, Leadership, Supplements
Education
Southern Methodist University - Cox School of Business 1983 — 1987
BBA, Finance
Francis T. Maloney
Jefferson Middle School
Nathan Hale
Digicon Corporation July 2012 - Present
MAXIMUS April 2009 - March 2012
Hewlett-Packard, formerly Electronic Data Systems (EDS), Herndon, VA July 1999 - December 2008
National Association of Securities Dealers January 1996 - June 1999
Skills
PMP, ITIL Certified, Proposal Writing, SDLC, Project Management, Program Management, Requirements Analysis, Integration, Disaster Recovery, IT Management, Vendor Management, Software Documentation, IT Service Management, Process Improvement, Data Center
Education
California State University-Chico
Bachelor’s Degree, Business Administration and Management, General
Lilien Systems January 2012 - Present
FICO August 1996 - February 2011
Charles Schwab 1990 - 1994
Deloitte Consulting 1987 - 1989
National Association of Securities Dealers July 1984 - September 1986
Bank of America 1985 - 1986
Skills
Business Process, Requirements Analysis, Strategy, Leadership, Project Management, SDLC, Management, Product Marketing, SaaS, CRM, Program Management, Business Analysis, Training, Business Strategy, Business Process Design, Professional Services, Consensus Building, PMO, Project Planning, Solution Selling, Marketing, Product Development, Business Planning, Visio, Analytics, Enterprise Software, Cloud Computing, Business Development, Product Management, Software Product..., Software Project...
Education
University of California, Los Angeles 1980 — 1984
BA, Business Economics
QUADC Management Inc. January 2012 - Present
AXO Inc. November 2011 - Present
Anchor Investments September 2011 - Present
DTI 2011 - 2013
RETIRED September 2010 - October 2010
Pearson December 2003 - September 2010
National Association of Securities Dealers 2001 - 2004
Skills
Program Management, Strategic Planning, Team Building, Integration, Process Engineering, Change Management, Process Improvement, Team Leadership, Human Resources, Leadership, Mergers & Acquisitions, Business Process, Strategy, Management, Management Consulting, Business Development, Training
Education
The University of Texas at El Paso 1975 — 1977
Bachelor's degree, Accounting and Business/Management
Big Spring High School 1961 — 1964
Mathnasium of Bethesda November 2012 - Present
Cost & Performance Solutions, Inc July 2009 - Present
Glen Echo Fire Department February 2011 - May 2013
SRA International May 2006 - July 2009
Novell March 1999 - April 2006
The Signature Group, Inc. 1997 - 1998
Citibank 1995 - 1997
EDS 1995 - 1995
National Association of Securities Dealers 1992 - 1994
Intercon 1991 - 1992
Skills
Integration, Program Management, Management, Leadership, Business Intelligence, Cloud Computing, IT Strategy, Project Management, Enterprise Architecture, Security, Business Process..., Consulting, Identity Management, Enterprise Software, Project Planning, Technical Architecture, Government Contracting, Middleware, Executive Management, SharePoint, SaaS, CRM
Education
University of Delaware 1985 — 1991
University of Maryland University College
Bachelor of Science
Hamline University 1974 - Present
American Association of Certified Firearms Instructors, Inc. 2003 - 2012
National Rifle Association 1991 - 2000
St. Louis University Law School September 1988 - January 1989
Hessian, McKasy & Soderberg 1980 - 1988
St. Louis Univ. Law School September 1986 - January 1987
National Association of Securities Dealers 1977 - 1987
State of Minnesota 1977 - 1980
United States Air Force December 1970 - September 1974
Dorsey & Whitney LLP June 1970 - December 1970
Skills
Firearms Instructor, Constitutional Law, Legal Writing, Appeals, Public Speaking, Criminal Law, Teaching, Legal Education, Courts, Legislative Relations, Public Policy, Firearms, Policy Analysis, Legislation, Grassroots Organizing, Community Outreach
Education
Univ. of Florida School of Law 1980 — 1981
LL.M., Taxation
Duke University School of Law 1967 — 1970
JD, Law
University of Notre Dame 1963 — 1967
Bachelor of Arts (B.A.), Literature, History and Philosophy
US Tax Consulting Group, LLC 2011 - Present
ITA, LLC 1996 - Present
Broadway Department Stores 1988 - 1996
Strategis Asset Valuation Mgt 1987 - 1988
Los Angeles County Office of the Assessor 1986 - 1987
National Association of Securities Dealers 1985 - 1986
Skills
Property Tax, Tax, Strategic Planning, Tax Accounting, Litigation, Investments, Financial Analysis, Auditing, Mergers & Acquisitions, Financial Modeling, Due Diligence, Business Valuation, Tax Law, Valuation, Business Planning, Financial Reporting, Accounting, Real Estate, Asset Management, Internal Controls, Commercial Real Estate, Tax Research, New Business Development, Business Development, Appraisals, Income Tax, Microsoft Excel, Strategic Financial..., Corporate Tax, Sarbanes-Oxley Act, Public Speaking, Sales Tax, Financial Planning
Education
University of California, Los Angeles 1978 — 1983
BS, Economics
IPT PROPERTY TAX SCHOOL
IPT PROPERTY TAX SCHOOL
IPT PROPERTY TAX SCHOOL
Financial Industry Regulatory Authority June 2010 - Present
NYSE Arca Equities, Inc. April 2004 - June 2010
National Association of Securities Dealers April 2003 - April 2004
RBC Dain Rauscher, Inc. February 1999 - April 2003
Skills
Capital Markets, Derivatives, Electronic Trading, Equities, FINRA, Hedge Funds, Options, Securities, Series 7, Trading Systems
Education
DePaul University 1999 — 2002
Master of Business Administration (MBA), Finance, General
Northern Illinois University 1993 — 1997
Bachelor of Science (BS), Finance, General
Rutgers University August 2015 - Present
Yeshiva University August 2015 - Present
City University of New York, College of Staten Island January 2015 - Present
Private Practice May 2013 - Present
Private Practice September 2002 - Present
Yeshiva University August 2014 - August 2015
New York Foundling Hospital December 2007 - August 2015
New York Predators June 2012 - April 2013
New York City Department of Education September 2010 - June 2011
National Association of Securities Dealers June 2005 - January 2008
Skills
Citrix Connections, Research, Staff Supervision, Administration, Documentation, Case Management, Conferences, Case Managment, System Administration, Software Documentation, Microsoft Office, SQL, Oracle, NYFIS, PROMIS, QuickBase, CARA, SPSS, AccuMed, Training, Community Outreach, Data Analysis, Leadership, Program Evaluation, Nonprofits
Education
Yeshiva University 2013 — 2017
Doctor of Philosophy (Ph.D.), Social Work Policy & Research
City University of New York-Hunter College 2010 — 2012
MSW, Social Work Administration
City University of New York-College of Staten Island 2002 — 2007
BA, Sociology & Anthropology
TASQ Technology June 2014 - Present
Waste Management October 2010 - January 2014
Alliant Health Plans June 2010 - October 2010
Hillside United Methodist Church January 2004 - May 2010
National Association of Securities Dealers January 1995 - January 1997
OppenheimerFunds January 1994 - January 1995
Skills
Account Management, Salesforce.com, New Business Development, Sales Operations, Sales Process, Customer Satisfaction, Sales Presentations, Cold Calling, Sales Management, Sales, Contract Negotiation, Leadership, Customer Retention, Customer Service, Marketing
Education
University of South Carolina - Darla Moore School of Business 1987 — 1990
Bachelor of Science, Business Administration, Marketing
University of South Carolina - Darla Moore School of Business
Real Estate Consultant / Energy Ultilities January 2012 - Present
Case Property Services January 2015 - June 2015
The Greenberg Group September 2014 - January 2015
New York University January 2012 - January 2014
Marcus & Millichap September 2009 - November 2012
Coldwell Banker Commercial January 2006 - September 2009
Carmike, LLC January 2004 - January 2008
Emerald Investment Group January 2005 - January 2007
Mike Taylor Properties / Century 21 Bob Capes Realtors January 2000 - January 2006
National Association of Securities Dealers May 1999 - August 1999
Skills
real estate analyst, Dispositions, Real Estate, Investment Properties, Valuation, Real Estate Investment, Real Estate Finance, Site Selection, Brokerage, Investments, Real Estate Transactions, Leases, Due Diligence, Financial Analysis, Market Analysis, Contract Negotiation, Retail, Financial Modeling, Market Research, Land Acquisition, 1031 Exchanges, Private Equity, Asset Management, Real Estate Development, Portfolio Management
Education
New York University 2012 — 2014
MS Real Estate, FInance and Investments
University of South Carolina-Columbia 2008 — 2009
Mandarin
Certified Commercial Investment Member 2007 — 2009
CCIM, Commercial Real Estate
University of South Carolina - The Moore School of Business 2002 — 2004
Master of Business Administration, Business
College of Charleston 1994 — 1998
Bachelor of Arts, Communication / Minor Business Administration
Guggenheim Partners April 2015 - Present
Cantor Fitzgerald/BGC February 2010 - March 2015
Katten Muchin Rosenman LLP July 2008 - January 2010
Bear, Stearns & Co. Inc December 1996 - June 2008
Institutional Direct, Inc. June 2002 - April 2006
National Association of Securities Dealers October 1992 - December 1996
FINRA (Formerly NASD) 1992 - 1996
Skills
Securities, Compliance, Hedge Funds, Trading, FINRA, Prime Brokerage, Securities Regulation, Capital Markets, Equities, Equity Trading, Trading Systems, Private Equity, Financial Services, Mutual Funds, Dodd-Frank, Series 7, Alternative Investments, Mergers & Acquisitions, Investments, Fixed Income, Financial Regulation, Broker-Dealer, Derivatives, Options, Asset Management, Series 24, AML, Electronic Trading, Structured Products, Financial Markets, Investment Banking, Bonds, Series 63, Corporate Governance, Private Placements, Securities Litigation, Bloomberg, ETFs, Investment Advisory, Wealth Management
Education
Georgetown University Law Center 1992 — 1996
LL.M.
The George Washington University Law School 1989 — 1992
J.D.
Penn State University 1982 — 1985
Bachelor of Science (B.S.)
Lower Merion High School 1978 — 1982
American Bankers Association December 2007 - Present
America's Community Bankers October 2005 - November 2007
Financial Management Service, U.S. Department of the Treasury 1999 - 2005
National Association of State Auditors, Comptrollers and Treasurers 1995 - 1999
National Association of Securities Dealers 1992 - 1995
Skills
Banking, Accredited ACH..., Payments, Financial Risk, Financial Services, Risk Management, Analysis, Product Management, AML, Credit, Strategic Planning, Leadership, Security, Management, Program Management
Education
The George Washington University - School of Business 1990 — 1993
MBA
Boston College 1984 — 1988
B.S.
Concord-Carlisle High School 1980 — 1984
Affinity Health Plan June 2007 - March 2015
Community Premier Plus January 2006 - June 2007
Center Care / Fidelis November 2005 - March 2006
Healthfirst October 2000 - February 2004
National Association of Securities Dealers March 1995 - October 2000
Empire Blue Cross Blue Shield September 1971 - November 1993
Skills
Insurance, Strategic Planning, Process Improvement, Team Building, Business Analysis, Analysis, Data Analysis
Education
Monroe College 2011 — 2011
Health/Health Care Administration/Management
CUNY Bronx Community College 1967 — 1968
Registered Nursing/Registered Nurse
JPMorgan Chase & Co. June 2015 - Present
Macquarie Bank June 2007 - June 2015
Morgan Stanley March 2006 - June 2007
JPMorgan May 2000 - February 2006
Robertson Stephens January 1997 - May 2000
National Association of Securities Dealers February 1993 - November 1996
Education
Loyola University Maryland
Bachelor of Business Administration (B.B.A.), Finance
St Mary's Boys H.S.
Pure Technologies March 2015 - Present
Offit Kurman, P.A. October 2013 - March 2015
Shulman Rogers 2010 - October 2013
Harter Secrest & Emery LLP 2007 - 2009
National Association of Securities Dealers May 2005 - March 2007
Wiener Brodsky Sidman Kider July 2003 - August 2004
Tradition North America June 2002 - June 2003
JPMorgan June 2000 - June 2002
Skills
Securities, Venture Capital, Mergers, Private Equity, Contract Negotiation, Project Management, Compliance, Corporate Governance, Corporate Finance, Investments, Licensing, Corporate Law, Finance, Legal Research, Start-ups, Dispute Resolution, Commercial Litigation, Private Placements, Securities Regulation, Legal Writing, Joint Ventures, Securities Offerings, Arbitration, Hedge Funds, Mergers & Acquisitions, Fund Of Funds
Education
The Catholic University of America, Columbus School of Law 2004 — 2007
J.D., LAW
University of Pennsylvania 1996 — 2000
B.A., Economics, and Philosophy, Politics and Economics
New Castle High School 1995 — 1996
Butler High School 1992 — 1995
Booz Allen Hamilton October 2001 - Present
CSC Consulting April 1998 - September 2001
National Association of Securities Dealers March 1995 - April 1998
Education
Naval Postgraduate School 1983 — 1985
M.S., Computer Information Systems
University of Southern California 1978 — 1980
M.S., Systems Management
Utah State University 1966 — 1970
B.S., Psychology
ClubCorp May 2014 - Present
Hermes Sargent Bates, LLP August 2011 - May 2014
Beasley, Hightower & Hartmann, P.C. August 2009 - August 2011
Addison Law Firm January 2004 - August 2009
Federal Trade Commission August 2006 - December 2006
National Association of Securities Dealers June 2006 - August 2006
Texas Attorney General's Office, Division of Consumer Protection December 2005 - January 2006
Mind September 2001 - February 2002
Skills
Commercial Litigation, Contract Negotiation, Licensing, Legal Research, Litigation, Legal Assistance, Legal Writing, Public Liability, Product Liability, Legal Issues, Civil Litigation, Trials
Education
Southern Methodist University Dedman School of Law 2004 — 2007
J.D.
The University of Texas at Austin 1997 — 2001
Bachelor's Degree
IBM Global Services March 2011 - Present
IBM July 2005 - March 2011
Disney 1996 - 2005
National Association of Securities Dealers 1994 - 1995
Frederick Computers 1988 - 1990
Skills
VMware, Virtualization, IT Service Management, Disaster Recovery, Data Center, Servers, ITIL, Storage, Cloud Computing, VMware ESX, Vendor Management, IT Operations, IT Strategy, Windows Server, DNS, Storage Area Networks, Service Delivery, IT Management, Solution Architecture, Integration, Infrastructure, System Administration, Operating Systems, VMware Infrastructure, SAN, Active Directory, High Availability, Citrix
Education
Towson University 1988 — 1990
BA, Political Science
University of Alabama in Huntsville 1984 — 1986
B/D Consulting Associates, Inc. 2001 - Present
Investment Advisors International 2007 - 2009
National Association of Securities Dealers 1993 - 1997
Education
Georgia State University - J. Mack Robinson College of Business 1990 — 1994
Emory University
Habitat for Humanity of Washington, D.C. November 2008 - September 2013
Independent Consultant December 2006 - October 2008
Academy for Educational Development (AED) November 2005 - November 2006
IBM Business Consulting Services September 2002 - June 2005
PricewaterhouseCoopers January 1991 - September 2002
The World Bank 1988 - 1990
Merrill Lynch 1981 - 1988
National Association of Securities Dealers December 1979 - July 1981
Skills
Community Outreach, Capacity Building, Government Relations, Grants, Fundraising, Community Relations, Non-profits, Community Development, Economic Development, Leadership, Management Consulting, Nonprofits, Training, Proposal Writing, Program Management, Affordable Housing, International..., Policy, Due Diligence, Government, Program Development, Public Policy, Organizational..., Grant Writing, Workshop Facilitation, Policy Analysis, Management, Volunteer Management, NGOs, Community Engagement, Philanthropy, Board Development, Program Evaluation, Corporate Social..., Leadership Development, Local Government, Strategic Communications, Non-profit..., Governance, Social Entrepreneurship, Public Speaking, Strategic Planning, Sustainability, Conflict Resolution, Strategy, Microfinance, Public Relations, Politics, Event Planning, Authenticity
Education
Fordham University - Graduate School of Business Administration 1979 — 1980
Master of Business Administration (MBA), Banking, Corporate, Finance, and Securities Law
University at Albany, SUNY 1976 — 1978
B.S., Business Administration
Nassau Community College 1974 — 1976
A.A., Liberal Arts
Apex Clearing June 2012 - Present
Penson Financial Services September 2008 - June 2012
Wamu Capital Corp 2001 - 2008
National Securities September 1987 - November 2001
National Association of Securities Dealers August 1983 - August 1987
Skills
Accounting, Broker-Dealer, Cash Management, Equities, FINRA, Finance, Financial Risk, Financial Services, Financial Statements, Fixed Income, Management, Options, Prime Brokerage, Risk Management, SEC, Securities, Series 7, Strategic Planning, Trading, Trading Systems, Auditing
Education
Oregon State University 1973 — 1978
Finance
Fidessa Corp. June 2001 - Present
Knight Securities 2000 - June 2001
Brut LLC June 1998 - June 2000
Smith Barney January 1997 - June 1998
National Association of Securities Dealers 1985 - 1997
FINRA January 1985 - December 1996
Skills
Securities, Equities, Electronic Trading, Trading Systems, Series 7, Equity Trading, Options, Hedge Funds, Prime Brokerage, Trading, Capital Markets, Derivatives, AML, FINRA, Financial Markets, Series 24, Financial Risk, Order Management, Series 63, SEC
Education
University of New Orleans 1981 — 1983
MBA, Finance
Tulane University 1970 — 1974
BS, Psychology
State Street Corporation 1992 - Present
National Association of Securities Dealers 1986 - 1992
Education
Northeastern University 1979 — 1984
Finance
Financial Industry Regulatory Authority February 2014 - Present
Financial Industry Regulatory Authority April 2010 - Present
Financial Industry Regulatory Authority April 2008 - April 2010
National Association of Securities Dealers June 2006 - April 2008
Legg Mason, Inc January 2006 - June 2006
Legg Mason Wood Walker, Inc September 2003 - January 2006
Legg Mason Wood Walker, Inc September 2001 - September 2003
Legg Mason Wood Walker, Inc February 2001 - September 2001
Extended Stay America Hotels October 2000 - February 2001
Judge Advocat General September 1999 - December 1999
Skills
Securities, Series 7, FINRA, Mutual Funds, Investments, Finance, Financial Services, Financial Analysis, Analysis, Options, Retirement Planning, ETFs, Fixed Annuities, Financial Advisory, Training, Management, Program Management, Series 63, Securities Regulation, Software Documentation, Series 24, Budgets, Fixed Income, Equities, Alternative Investments, Asset Management, Wealth Management, Portfolio Management, Asset Allocation
Education
Strayer University 2001 — 2003
Master of Business Administration, Marketing
Christopher Newport University 1997 — 2000
BS, Government Administration
Christopher Newport University 1997 — 2000
BS, Government Administration; Criminal Justice
Financial Industry Regulatory Authority March 2010 - Present
Financial Industry Regulatory Authority June 2006 - March 2010
Law Office of Judy Feinberg March 2005 - June 2006
Law Corps October 2003 - March 2005
National Association of Securities Dealers May 2002 - August 2002
Skills
FINRA, Legal, Compliance
Education
Washington University in St. Louis 2000 — 2003
Juris Doctor (J.D.)
James Madison University
Bachelor's Degree, History
Financial Industry Regulatory Authority December 2011 - Present
Financial Industry Regulatory Authority November 2008 - December 2011
Financial Industry Regulatory Authority March 2004 - November 2008
National Association of Securities Dealers May 2002 - August 2002
Education
University of Baltimore School of Law 2007 — 2011
Juris Doctor, Business Law
Towson University 1999 — 2003
Bachelor of Science, Business Administration
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
Business Transformation Institute, Inc. August 2011 - Present
Teracore, Inc. February 2011 - May 2011
U.S. Department of State March 2009 - November 2010
Virtual Development Inc. September 1999 - February 2009
Exeter Government Services, LLC 2008 - 2008
General Electric Information Services (GEIS) January 1998 - August 1999
National Association of Securities Dealers 1996 - 1998
Raytheon Intelligence and Information Systems 1992 - 1995
George Washington University Medical Center 1990 - 1992
Children's Hospital Boston 1981 - 1983
Skills
Business Analysis, Requirements Analysis, Program Management, Government, Analysis, ITIL, SQL, Data Analysis, Agile Methodologies, Requirements Gathering, SDLC, Strategic Planning, SharePoint, Team Building, Team Leadership
Education
University of Toronto - University College 1964 — 1967
BA, Philosophy, Logic
The Hebrew University
Contemporary Jewish Studies
Federal Reserve Bank of New York August 2009 - Present
Brown Brothers Harriman & Co. May 2006 - May 2009
Wachovia Bank- CMG Institutional Trust & Clearing 2004 - 2006
Deutsche Bank- Global Transaction Bank 1999 - 2003
Bankers Trust Company- Global Transaction Bank 1994 - 1999
Bankers Trust Company- Global Capital Markets 1987 - 1994
Merrill Lynch & Co. Global Capital Markets 1982 - 1987
National Association of Securities Dealers 1980 - 1982
Education
Hofstra University 1978 — 1980
MBA, Finance, Banking and Investment
Columbia University in the City of New York 1974 — 1978
BA, Major/Economics & Minor/French
Tresalia USA, Inc. September 2015 - Present
Fiduciary Research October 2009 - August 2015
RCM Capital Management, a subsidiary of Allianz Global Investors June 1999 - October 2009
Montgomery Asset Management May 1996 - September 1999
Sutro & Company March 1994 - May 1996
National Association of Securities Dealers October 1990 - March 1994
Skills
Alternative Investments, Asset Allocation, Asset Management, Equities, Fixed Income, Hedge Funds, Private Equity, Risk Management
Education
University of California, Santa Barbara 1985 — 1989
B.A., Business Economics
Securities BackOffice Solutions, Inc. June 1998 - Present
Keogler Morgan & Company, Inc. 1986 - 1997
National Association of Securities Dealers November 1984 - February 1986
Skills
Mergers & Acquisitions, Asset Management, Due Diligence, Risk Management, Private Equity, Investment Advisory, Alternative Investments, Mutual Funds, Investments, Equities, Securities, Series 63, Financial Planning, Management, Series 7
Education
University of Florida 1978 — 1981
BSBA, Finance
Vesel Interactive December 2013 - Present
Vesel Interactive February 2012 - Present
Cantor Fitzgerald January 2012 - March 2013
BTIG, LLC May 2009 - January 2012
Banc of America June 2003 - May 2009
Bear, Stearns & Company June 1998 - June 2003
National Association of Securities Dealers 1997 - 1998
Pershing Trading Company, L.P. 1996 - 1997
Tuttle Securities 1995 - 1996
Skills
Capital Markets..., Global Regulatory..., Risk Arbitrage, PnL Management, Derivatives, Convertible Securities, Leadership Development, Project Coordination, Interpersonal..., Strategic Planning, Process Improvement, Back Office, SEC Compliance, Operational Risk, Relationship Management, Securities, Series 63, Series 7, Equities, Hedge Funds, Bloomberg, Trading, Spanish, Risk Management, Financial Markets, Market Data, Financial Services, Proprietary Trading, Options, Trading Systems, Prime Brokerage, Equity Trading, Strategy, Investments, AML, Capital Markets, SEC, FINRA, Electronic Trading, Asset Management, Fixed Income, Alternative Investments, Institutional, Institutional Sales, Market Structure, Trading System
Education
New York National Guard 1988 — 1997
Recipient of Air Force Achievement and Commendations Medals
State University of New York College at Geneseo 1991 — 1993
B.A., Psychology
Capital One Securities, Inc. October 2012 - Present
Bank of America Merrill Lynch August 2010 - September 2012
Bank of America Merrill Lynch October 2009 - September 2010
Banc of America Investment Services Inc August 2006 - October 2009
National Association of Securities Dealers May 2005 - August 2005
HD Vest Investment Securities Inc. August 1998 - August 2003
Fidelity Investments Retirement Services Co October 1997 - August 1998
Skills
Policy, Securities, Compliance, AML, FINRA, Risk Management, Banking, Securities Law, USA PATRIOT Act, BSA
Education
Loyola University New Orleans School of Law 2003 — 2006
Juris Doctor, Common Law
University of North Texas
Bachelor of Arts, History
Chattahoochee Hills Eventing June 2015 - Present
Morgan Consultants, Inc. December 2014 - March 2015
Berkshire Hathaway HomeServices Georgia Properties November 2012 - December 2013
Self Employed February 2009 - November 2011
Invesco Ltd. September 1997 - February 2009
National Association of Securities Dealers 1992 - 1997
Uniglobe Travel International 1990 - 1992
US Army 1986 - 1992
Skills
Human Resources, Problem Solving, Customer Service, Real Estate, Selling, Investments, Management, Investment Properties, Training, Leadership, Asset Management, Negotiation, Property Management, Budgets, Contract Negotiation, Lean Six Sigma
Education
Oglethorpe University 1994 — 1997
Bachelor of Science (BS), Business Administration, Management and Operations
Georgetown University School of Continuing Studies June 2014 - July 2014
Georgetown University February 2008 - July 2013
Center for Prostate Disease Research August 2007 - February 2008
National Association of Securities Dealers 2005 - 2006
Skills
Research, Data Analysis, Policy Analysis, Qualitative Research, Program Evaluation, Nonprofits, Public Health, Community Outreach, Public Speaking, Grant Writing, Public Policy, Stata, Teaching, International..., SPSS
Education
Georgetown University School of Medicine 2013 — 2018
Doctor of Medicine (M.D.), Medicine
Georgetown University 2009 — 2012
Certificate, Post-Bacc Pre-Med Program
University of Michigan 2003 — 2007
B.A., Psychology, Spanish, Pre-Health
WMATA September 2012 - Present
Hewlett Packard November 2011 - August 2012
Hewlett Packard April 2004 - October 2011
EDS June 1999 - March 2004
National Association of Securities Dealers June 1995 - June 1999
CSC November 1994 - June 1995
Computer Data Systems, Inc January 1993 - November 1994
Blue Cross March 1991 - January 1993
L.R. Wechsler Consulting November 1989 - March 1991
Skills
Agile Project Management, Certified Scrum Master..., PMP, Software Project..., Agile Methodologies, SDLC, Requirements Analysis, SOA, Scrum, Software Development, CMMI, Enterprise Architecture, Solution Architecture, Program Management, Business Analysis, IT Strategy, SharePoint, ITIL, Vendor Management, Release Management, Oracle, PMI
Education
University of Maryland 1994 — 1998
B.A, Psychology
University of Maryland College Park 1994 — 1998
BS, Computer Science
Computer Learning Center 1989 — 1989
Certificate, Computer Programing
Investment Realty Pro LLC 2010 - Present
Marcus & Millichap 2002 - 2009
National Association of Securities Dealers 1999 - 2002
Skills
Investment Properties, Brokerage, Real Estate Economics, Real Estate Development, Real Estate Transactions, Real Estate, Leases, Investments, Property Management, Real Estate Financing, Investors, Sellers, Asset Management
Education
Manhattan College 1995 — 1999
Bachelor of Science, Finance/Economics
Manhattan College
Finance and Economics
CSAA Insurance Group May 1995 - August 2004
Blue Shield of California January 1991 - April 1995
National Association of Securities Dealers November 1985 - August 1988
Education
The University of Montana - School of Business Administration 2012 — 2014
n/a - CPA education requirements, upper division accounting
Columbia University - Columbia Business School 1988 — 1990
Master of Business Administration (MBA)
U.C. Berkeley 1981 — 1985
Bachelor's degree, Finance and Marketing
HGL October 2013 - Present
Accenture March 1999 - November 2010
National Association of Securities Dealers January 1984 - September 1998
Skills
Microsoft Excel, Microsoft Word, Purchase Orders, Purchasing Processes, Contract Management, Purchase Requisitions, Filing, Editing, Proofreading, People-oriented, People Skills, Difficult People, Telephone, PowerPoint, Microsoft Outlook, Windows 7, Market Reports, Typing, Mailing List Management, Mass Mailing, Bulk Mailing, Calendars, Calendaring, PeopleSoft, Ariba, Travel Management, International Travel
Education
Northern Virginia Community College 1974 — 1975
None, Accounting
Robinson Secondary 1971 — 1973
HS Diploma, Business
Morgan Stanley Wealth Management June 2009 - Present
Citi April 2006 - June 2009
Murray, Frank & Sailer L.L.P. February 2006 - April 2006
National Association of Securities Dealers April 2004 - May 2005
New York Stock Exchange September 2003 - November 2003
The Honorable Rosalyn Richter, New York State Supreme Court, Civil Division May 2003 - July 2003
Education
Fordham Law School 2002 — 2005
Doctor of Law (JD), Law
Binghamton University 1999 — 2001
Master of Arts (M.A.), Political Science
NYU 1994 — 1998
Bachelor of Arts (B.A.), Political Science