National Association of Securities Dealers

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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National Association of Securities Dealers Employees

Employee
Years
Job
Industry
Steve Bastille Steve Bastille Las Vegas, Nevada Area Details
Steve Bastille's National Association of Securities Dealers Experience March 1992 - January 1997
Job Sr. Technical Account Manager at Microsoft
Industry Computer Software
Experience
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

John Hitchingham John Hitchingham Washington D.C. Metro Area Details
John Hitchingham's National Association of Securities Dealers Experience 2003 - 2005
Job Director, Data and Analytic Services
Industry Information Technology and Services
Experience
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

Marc Maramag Marc Maramag Greater New York City Area Details
Marc Maramag's National Association of Securities Dealers Experience July 2004 - January 2005
Job VP Regulatory and Compliance Audit
Industry Financial Services
Experience
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

Richard Lembach Richard Lembach Greater New York City Area Details
Richard Lembach's National Association of Securities Dealers Experience 1979 - 1980
Job Chief Compliance Officer at SMBC Nikko Securities America
Industry Financial Services
Experience
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

Herb Pontzer Herb Pontzer United States Details
Herb Pontzer's National Association of Securities Dealers Experience 1986 - 1998
Job Managing Principal at BD Advisor Consultants, Inc.
Industry Financial Services
Experience
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

Brad Darfler Brad Darfler San Francisco Bay Area Details
Brad Darfler's National Association of Securities Dealers Experience August 1994 - March 1998
Job Exam Manager at U.S. Securities and Exchange Commission
Industry Accounting
Experience
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

Beth Duris Beth Duris Greater Boston Area Details
Beth Duris's National Association of Securities Dealers Experience 1987 - 1996
Job Executive Coordinator at Shaklee Corporation
Industry Health, Wellness and Fitness
Experience
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

Carol Carlisle Carol Carlisle Washington D.C. Metro Area Details
Carol Carlisle's National Association of Securities Dealers Experience January 1996 - June 1999
Job Director, Enterprise IT Services
Industry Information Services
Experience
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

Sharon Staley, PMP Sharon Staley, PMP San Francisco Bay Area Details
Sharon Staley, PMP's National Association of Securities Dealers Experience July 1984 - September 1986
Job PMO Manager at Lilien Systems
Industry Financial Services
Experience
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

Ken Chrane Ken Chrane Austin, Texas Area Details
Ken Chrane's National Association of Securities Dealers Experience 2001 - 2004
Job Sr. Advisor at AXO Inc.
Industry Management Consulting
Experience
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

Barry Fausnaugh, PMP Barry Fausnaugh, PMP Bethesda, Maryland Details
Barry Fausnaugh, PMP's National Association of Securities Dealers Experience 1992 - 1994
Job COO at Cost & Performance Solutions, Inc & Owner/Center Director at Mathnasium of Bethesda
Industry Management Consulting
Experience
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

Joseph E. Olson Joseph E. Olson Greater Minneapolis-St. Paul Area Details
Joseph E. Olson's National Association of Securities Dealers Experience 1977 - 1987
Job Professor of Law, Hamline University
Industry Public Policy
Experience
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

Rick Izumi, CMI Rick Izumi, CMI Greater Los Angeles Area Details
Rick Izumi, CMI's National Association of Securities Dealers Experience 1985 - 1986
Job Partner at ITA, LLC
Industry Financial Services
Experience
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

Christine Podolak Christine Podolak Greater Chicago Area Details
Christine Podolak's National Association of Securities Dealers Experience April 2003 - April 2004
Job Financial Industry Regulatory Authority
Industry Financial Services
Experience
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

Nafees Alam, LMSW Nafees Alam, LMSW Greater New York City Area Details
Nafees Alam, LMSW's National Association of Securities Dealers Experience June 2005 - January 2008
Job Ph. D. Candidate, Research
Industry Higher Education
Experience
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

Sirena Courtney Sirena Courtney Greater Atlanta Area Details
Sirena Courtney's National Association of Securities Dealers Experience January 1995 - January 1997
Job First Data/TASQ Technology
Industry Information Technology and Services
Experience
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

Scott M Taylor, MBA MSRE Finance Scott M Taylor, MBA MSRE Finance Greater New York City Area Details
Scott M Taylor, MBA MSRE Finance's National Association of Securities Dealers Experience May 1999 - August 1999
Job Real Estate Consultant Mike Taylor Properties Inc. Consultancy
Industry Financial Services
Experience
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

Gary Distell Gary Distell New York, New York Details
Gary Distell's National Association of Securities Dealers Experience October 1992 - December 1996
Job Senior Consultant at Guggenheim Partners
Industry Financial Services
Experience
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

Steve Kenneally Steve Kenneally Washington D.C. Metro Area Details
Steve Kenneally's National Association of Securities Dealers Experience 1992 - 1995
Job Vice President, American Bankers Association
Industry Government Relations
Experience
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

Marthette Welch Marthette Welch Bronx, New York Details
Marthette Welch's National Association of Securities Dealers Experience March 1995 - October 2000
Job Retired from Affinity Health Plan
Industry Insurance
Experience
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

Tom Garvey Tom Garvey Greater New York City Area Details
Tom Garvey's National Association of Securities Dealers Experience February 1993 - November 1996
Job Control Officer
Industry Financial Services
Experience
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.

Robert Barlett Robert Barlett Columbia, Maryland Details
Robert Barlett's National Association of Securities Dealers Experience May 2005 - March 2007
Job Senior Legal Counsel
Industry Civil Engineering
Experience
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

Richard Broome Richard Broome Washington D.C. Metro Area Details
Richard Broome's National Association of Securities Dealers Experience March 1995 - April 1998
Job Senior Associate at Booz Allen Hamilton
Industry Management Consulting
Experience
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

Kimberly King Kimberly King Dallas, Texas Details
Kimberly King's National Association of Securities Dealers Experience June 2006 - August 2006
Job Associate Counsel at ClubCorp USA, Inc.
Industry Law Practice
Experience
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

Darren Eslinger Darren Eslinger Orlando, Florida Area Details
Darren Eslinger's National Association of Securities Dealers Experience 1994 - 1995
Job IT Specialist Cloud Computing at IBM Global Services
Industry Computer Networking
Experience
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

Brian Megenity Brian Megenity Greater Atlanta Area Details
Brian Megenity's National Association of Securities Dealers Experience 1993 - 1997
Job Owner, B/D Consulting Associates, Inc.
Industry Financial Services
Experience
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

Dennis Smyth Dennis Smyth Washington D.C. Metro Area Details
Dennis Smyth's National Association of Securities Dealers Experience December 1979 - July 1981
Job NonProfit Manager and Fundraiser
Industry Nonprofit Organization Management
Experience
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

Jay Hanville Jay Hanville Dallas/Fort Worth Area Details
Jay Hanville's National Association of Securities Dealers Experience August 1983 - August 1987
Job Securities Professional
Industry Investment Banking
Experience
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

Jess Haberman Jess Haberman Greater New York City Area Details
Jess Haberman's National Association of Securities Dealers Experience 1985 - 1997
Job Director of Compliance at Fidessa Corp.
Industry Financial Services
Experience
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

Nicholas Bonn Nicholas Bonn Greater Boston Area Details
Nicholas Bonn's National Association of Securities Dealers Experience 1986 - 1992
Job Executive Vice President at State Street Corporation
Industry Financial Services
Experience
State Street Corporation  1992 - Present
National Association of Securities Dealers   1986 - 1992

Education
Northeastern University   1979 — 1984
Finance

Nancy Damiano Nancy Damiano Washington D.C. Metro Area Details
Nancy Damiano's National Association of Securities Dealers Experience June 2006 - April 2008
Job Associate Manager at FINRA Advertising Regulation
Industry Financial Services
Experience
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

Thomas McCormack Thomas McCormack Washington D.C. Metro Area Details
Thomas McCormack's National Association of Securities Dealers Experience May 2002 - August 2002
Job Associate Director, Office of the Ombudsman, FINRA
Industry Financial Services
Experience
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

Carly Kostakos Carly Kostakos Washington D.C. Metro Area Details
Carly Kostakos's National Association of Securities Dealers Experience May 2002 - August 2002
Job Attorney at FINRA
Industry Financial Services
Experience
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

Mort Aasland Mort Aasland Greater New York City Area Details
Mort Aasland's National Association of Securities Dealers 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

Dianne Cooperman Dianne Cooperman Washington D.C. Metro Area Details
Dianne Cooperman's National Association of Securities Dealers Experience 1996 - 1998
Job Senior Requirements Analyst
Industry Information Technology and Services
Experience
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

John Zori John Zori Greater New York City Area Details
John Zori's National Association of Securities Dealers Experience 1980 - 1982
Job Senior Examiner at Federal Reserve Bank of New York
Industry Banking
Experience
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

Greg Siemons Greg Siemons San Francisco, California Details
Greg Siemons's National Association of Securities Dealers Experience October 1990 - March 1994
Job Chief Operating Officer at Tresalia USA, Inc.
Industry Investment Management
Experience
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

Chris Guerin Chris Guerin Greater Atlanta Area Details
Chris Guerin's National Association of Securities Dealers Experience November 1984 - February 1986
Job Owner, Securities BackOffice Solutions, Inc.
Industry Computer Software
Experience
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

Joseph Wesley Joseph Wesley Greater New York City Area Details
Joseph Wesley's National Association of Securities Dealers Experience 1997 - 1998
Job Chairman of the Board at Vesel Interactive
Industry Financial Services
Experience
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

Mark Douce Mark Douce New Orleans, Louisiana Details
Mark Douce's National Association of Securities Dealers Experience May 2005 - August 2005
Job Chief Compliance Officer, Capital One Securities, Inc.
Industry Financial Services
Experience
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

Kelly Bertier Kelly Bertier Greater Atlanta Area Details
Kelly Bertier's National Association of Securities Dealers Experience 1992 - 1997
Job Today is a blank canvas, create a masterpiece!
Industry Executive Office
Experience
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

Kara-Grace Leventhal Kara-Grace Leventhal Washington D.C. Metro Area Details
Kara-Grace Leventhal's National Association of Securities Dealers Experience 2005 - 2006
Job Medical Student at Georgetown University School of Medicine
Industry Higher Education
Experience
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

Brian Fisher, PMP, CSM Brian Fisher, PMP, CSM Gaithersburg, Maryland Details
Brian Fisher, PMP, CSM's National Association of Securities Dealers Experience June 1995 - June 1999
Job Manager, Applications Systems at WMATA
Industry Information Technology and Services
Experience
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

Frank Pronesti Frank Pronesti Greater New York City Area Details
Frank Pronesti's National Association of Securities Dealers Experience 1999 - 2002
Job CEO/Broker of Record at Investment Realty Pro LLC
Industry Real Estate
Experience
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

Valerie Hall Tummarello Valerie Hall Tummarello United States Details
Valerie Hall Tummarello's National Association of Securities Dealers Experience November 1985 - August 1988
Job
Industry
Experience
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

Jane Burch Jane Burch Ashburn, Virginia Details
Jane Burch's National Association of Securities Dealers Experience January 1984 - September 1998
Job Contracts Administrative Assistant
Industry Management Consulting
Experience
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

Chan Nam Chan Nam Scarsdale, New York Details
Chan Nam's National Association of Securities Dealers Experience April 2004 - May 2005
Job VP at Morgan Stanley Wealth Management
Industry Financial Services
Experience
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

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