National Association of Securities Dealers, Inc.
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National Association of Securities Dealers, Inc. Employees
Employee
Years
Job
Industry
Alan Foxman Alan Foxman's National Association of Securities Dealers, Inc. Experience April 1989 - June 1997
Job at National Compliance Services
Industry Law Practice
Experience
National Compliance Services October 2010 - Present
Dew, Foxman & Haugh, PLLC June 2015 - Present
The Law Offices of Rita G. Dew, Esq., PA October 2011 - May 2015
Fred Chikovsky & Associates, LLC November 2008 - April 2010
LaValle Brown Ronan & Mullins, PA December 2007 - November 2008
Finkelstein Feil & Foxman, LLC March 2006 - November 2007
The Law Office of Alan J. Foxman, PA October 1998 - March 2006
National Association of Securities Dealers, Inc. April 1989 - June 1997
Skills
Mediation, Securities, Contract Negotiation, Arbitration, Securities Arbitration, Compliance, Corporate Law, FINRA, Securities Law, Alternative Dispute..., Securities Regulation, Dispute Resolution, Fraud, Corporate Governance, Legal Writing, Civil Litigation, Dispute, Private Placements, Defense, Partnerships, Private Equity, Legal Advice, Employment Law, Commercial Litigation, Internal Investigations, Estate Planning, Shareholder Agreements, Venture Capital, Litigation Support, Class Actions, Personal Injury, Mergers & Acquisitions
Education
Nova Southeastern University Shepard Broad College of Law 1985 — 1988
JD, Law
University of Florida 1980 — 1984
BA, Criminal Justice
National Compliance Services October 2010 - Present
Dew, Foxman & Haugh, PLLC June 2015 - Present
The Law Offices of Rita G. Dew, Esq., PA October 2011 - May 2015
Fred Chikovsky & Associates, LLC November 2008 - April 2010
LaValle Brown Ronan & Mullins, PA December 2007 - November 2008
Finkelstein Feil & Foxman, LLC March 2006 - November 2007
The Law Office of Alan J. Foxman, PA October 1998 - March 2006
National Association of Securities Dealers, Inc. April 1989 - June 1997
Skills
Mediation, Securities, Contract Negotiation, Arbitration, Securities Arbitration, Compliance, Corporate Law, FINRA, Securities Law, Alternative Dispute..., Securities Regulation, Dispute Resolution, Fraud, Corporate Governance, Legal Writing, Civil Litigation, Dispute, Private Placements, Defense, Partnerships, Private Equity, Legal Advice, Employment Law, Commercial Litigation, Internal Investigations, Estate Planning, Shareholder Agreements, Venture Capital, Litigation Support, Class Actions, Personal Injury, Mergers & Acquisitions
Education
Nova Southeastern University Shepard Broad College of Law 1985 — 1988
JD, Law
University of Florida 1980 — 1984
BA, Criminal Justice
Mary Kay Grimaldi Mary Kay Grimaldi's National Association of Securities Dealers, Inc. Experience 1983 - 1989
Job Marketing & Corporate Communications | Strategic Brand Management | Writing/Editing
Industry Public Relations and Communications
Experience
Shell Point Retirement Community December 2014 - Present
Community Hospice of Northeast Florida 2009 - 2014
VITAS Healthcare Corporation 2002 - 2009
Burger King Corporation 1998 - 2002
Steel Hector & Davis LLP 1997 - 1998
MCI Communications Corporation 1989 - 1989
National Association of Securities Dealers, Inc. 1983 - 1989
Midwest Stock Exchange/Midwest Securities Trust Company/Midwest Clearing Corporation 1980 - 1983
Skills
Corporate Communications, Marketing Communications, Public Relations, Advertising, Media Relations, Newsletters, Internal Communications, Marketing, Editing, Crisis Communications, Team Management, Strategic Leadership, Social Media Marketing, Brand Management, Direct Mail, Event Management, Fundraising
Education
DePaul University
MBA, Marketing
Northern Illinois University
MA, BS, Journalism, Public Relations
Shell Point Retirement Community December 2014 - Present
Community Hospice of Northeast Florida 2009 - 2014
VITAS Healthcare Corporation 2002 - 2009
Burger King Corporation 1998 - 2002
Steel Hector & Davis LLP 1997 - 1998
MCI Communications Corporation 1989 - 1989
National Association of Securities Dealers, Inc. 1983 - 1989
Midwest Stock Exchange/Midwest Securities Trust Company/Midwest Clearing Corporation 1980 - 1983
Skills
Corporate Communications, Marketing Communications, Public Relations, Advertising, Media Relations, Newsletters, Internal Communications, Marketing, Editing, Crisis Communications, Team Management, Strategic Leadership, Social Media Marketing, Brand Management, Direct Mail, Event Management, Fundraising
Education
DePaul University
MBA, Marketing
Northern Illinois University
MA, BS, Journalism, Public Relations
David Gorbach's National Association of Securities Dealers, Inc. Experience 1983 - 1986
Job Senior Director, Financial Planning & Analysis at The PMI Group, Inc.
Industry Financial Services
Experience
The PMI Group, Inc. March 2004 - Present
Fireman's Fund Insurance Company 2002 - May 2003
Fireman's Fund Insurance Company 1998 - 2002
Fireman's Fund Insurance Company 1994 - 1998
Fireman's Fund Insurance Company 1990 - 1994
Gorbach & Associates 1986 - 1990
National Association of Securities Dealers, Inc. 1983 - 1986
Northwest Airlines 1981 - 1983
Skills
Financial modeling &..., Strategic planning, Forecasting & budgeting
Education
Loyola Marymount University 1986 — 1988
MBA, Entrepreneurship
California State University-Northridge 1978 — 1980
BS, Finance with Accounting Concentration
The University of Akron 1974 — 1977
Accounting
St. Vincent St. Mary High School 1970 — 1974
The PMI Group, Inc. March 2004 - Present
Fireman's Fund Insurance Company 2002 - May 2003
Fireman's Fund Insurance Company 1998 - 2002
Fireman's Fund Insurance Company 1994 - 1998
Fireman's Fund Insurance Company 1990 - 1994
Gorbach & Associates 1986 - 1990
National Association of Securities Dealers, Inc. 1983 - 1986
Northwest Airlines 1981 - 1983
Skills
Financial modeling &..., Strategic planning, Forecasting & budgeting
Education
Loyola Marymount University 1986 — 1988
MBA, Entrepreneurship
California State University-Northridge 1978 — 1980
BS, Finance with Accounting Concentration
The University of Akron 1974 — 1977
Accounting
St. Vincent St. Mary High School 1970 — 1974
Ginger Kite Ginger Kite's National Association of Securities Dealers, Inc. Experience 1975 - 1977
Job Enjoying life and exploring opportunities
Industry Financial Services
Experience
Retired 2013 - Present
Financial Services Industry 1996 - 2013
Financial Services Industry 1985 - 1996
Tax & Bookkeeping 1977 - 1996
National Association of Securities Dealers, Inc. 1975 - 1977
Skills
Retirement Planning, Tax, Financial Advisory, 401k, Cash Flow, Financial Analysis, Investments, Financial Services, Investment Advisory, Forecasting, Estate Planning, Mutual Funds, Securities, Bookkeeping, Public Speaking, Investment Strategies, Financial Planners, Wealth Management, Coordinating Special..., Workshops, Tax Preparation, IRAs, Asset Allocation, Series 63, Small Business, Insurance, Strategic Financial..., Fixed Annuities, Asset Management, Retirement, Financial Planning, Insurance Planning, Money Coach, Due Diligence
Education
San Francisco State University
Accounting and Finance
Retired 2013 - Present
Financial Services Industry 1996 - 2013
Financial Services Industry 1985 - 1996
Tax & Bookkeeping 1977 - 1996
National Association of Securities Dealers, Inc. 1975 - 1977
Skills
Retirement Planning, Tax, Financial Advisory, 401k, Cash Flow, Financial Analysis, Investments, Financial Services, Investment Advisory, Forecasting, Estate Planning, Mutual Funds, Securities, Bookkeeping, Public Speaking, Investment Strategies, Financial Planners, Wealth Management, Coordinating Special..., Workshops, Tax Preparation, IRAs, Asset Allocation, Series 63, Small Business, Insurance, Strategic Financial..., Fixed Annuities, Asset Management, Retirement, Financial Planning, Insurance Planning, Money Coach, Due Diligence
Education
San Francisco State University
Accounting and Finance
Richard Ponce's National Association of Securities Dealers, Inc. Experience February 1988 - July 1991
Job Regional Compliance Officer at Centaurus Financial®
Industry Financial Services
Experience
Centaurus Financial® September 2010 - Present
Ponce Income Tax January 1976 - Present
National Credit Union Administration June 2009 - June 2010
Save N Sell Realty 2006 - 2009
Advisors and Brokers Regulatory Services 2008 - 2008
American Express Financial Advisors 2000 - 2002
U.S. Securities and Exchange Commission July 1991 - November 1999
National Association of Securities Dealers, Inc. February 1988 - July 1991
Skills
Securities, Mutual Funds, Retirement Planning, FINRA, Financial Services, Series 7, Investment Advisory, Investments, Series 24, Tax, Risk Management, Insurance, Fixed Annuities, Accounting, Financial Planners, Finance, Fixed Income, Equities, Trading, Life Insurance, Investment Strategies, Alternative Investments, AML, Wealth Management, Hedge Funds, Estate Planning, Series 63, Portfolio Management, Asset Management, Asset Allocation, Retirement, Small Business, Financial Advisory
Education
University of Phoenix-Southern California Campus 1998 — 2001
Master of Business Administration, Business, 3.82
California State University, Los Angeles 1984 — 1987
Bachelor of Science in Business Administration (BSBA), Finance, 2.9
John Marshall High School 1977 — 1980
High School Diploma, General Studies
Centaurus Financial® September 2010 - Present
Ponce Income Tax January 1976 - Present
National Credit Union Administration June 2009 - June 2010
Save N Sell Realty 2006 - 2009
Advisors and Brokers Regulatory Services 2008 - 2008
American Express Financial Advisors 2000 - 2002
U.S. Securities and Exchange Commission July 1991 - November 1999
National Association of Securities Dealers, Inc. February 1988 - July 1991
Skills
Securities, Mutual Funds, Retirement Planning, FINRA, Financial Services, Series 7, Investment Advisory, Investments, Series 24, Tax, Risk Management, Insurance, Fixed Annuities, Accounting, Financial Planners, Finance, Fixed Income, Equities, Trading, Life Insurance, Investment Strategies, Alternative Investments, AML, Wealth Management, Hedge Funds, Estate Planning, Series 63, Portfolio Management, Asset Management, Asset Allocation, Retirement, Small Business, Financial Advisory
Education
University of Phoenix-Southern California Campus 1998 — 2001
Master of Business Administration, Business, 3.82
California State University, Los Angeles 1984 — 1987
Bachelor of Science in Business Administration (BSBA), Finance, 2.9
John Marshall High School 1977 — 1980
High School Diploma, General Studies
J. Fred Maples's National Association of Securities Dealers, Inc. Experience 1994 - 1997
Job
Industry Financial Services
Experience
Lockheed Martin Corporation 2007 - Present
The Nasdaq Stock Market, Inc. 2001 - 2007
The Nasdaq Stock Market, Inc. 1997 - 2000
National Association of Securities Dealers, Inc. 1994 - 1997
National Association of Securities Dealers, Inc. 1987 - 1993
The National Bureau of Standards 1986 - 1987
Skills
Agile Methodologies, XML, Microsoft SQL Server, SQL, C#, Web Services, .NET, Java, JavaScript, ASP.NET, Oracle, Testing, Visual Basic, IIS, Risk Management
Education
The Johns Hopkins University
M.S.
Western Kentucky University 1981 — 1985
B.S.
Lockheed Martin Corporation 2007 - Present
The Nasdaq Stock Market, Inc. 2001 - 2007
The Nasdaq Stock Market, Inc. 1997 - 2000
National Association of Securities Dealers, Inc. 1994 - 1997
National Association of Securities Dealers, Inc. 1987 - 1993
The National Bureau of Standards 1986 - 1987
Skills
Agile Methodologies, XML, Microsoft SQL Server, SQL, C#, Web Services, .NET, Java, JavaScript, ASP.NET, Oracle, Testing, Visual Basic, IIS, Risk Management
Education
The Johns Hopkins University
M.S.
Western Kentucky University 1981 — 1985
B.S.
Will Edick's National Association of Securities Dealers, Inc. Experience May 1994 - November 1995
Job Partner at Pickard Djinis and Pisarri LLP
Industry Legal Services
Experience
Pickard Djinis and Pisarri LLP November 1995 - Present
National Association of Securities Dealers, Inc. May 1994 - November 1995
Fairchild Communications Services June 1988 - August 1991
Skills
Securities Regulation, FINRA, SEC, Broker-Dealer, AML, Fraud, Regulations, Internal Investigations, Investment Advisory, Alternative Investments, Cross-border..., Fixed Income, Financial Markets, Prime Brokerage, Equity Trading, Asset Management, Trading, Finance
Education
Georgetown University Law Center 1996 — 1998
LLM, Securities and Financial Regulation
American University, Washington College of Law 1991 — 1994
Doctor of Law (J.D.)
American University 1985 — 1988
Bachelor of Science (BS), Finance, General
Marblehead High School 1981 — 1984
Pickard Djinis and Pisarri LLP November 1995 - Present
National Association of Securities Dealers, Inc. May 1994 - November 1995
Fairchild Communications Services June 1988 - August 1991
Skills
Securities Regulation, FINRA, SEC, Broker-Dealer, AML, Fraud, Regulations, Internal Investigations, Investment Advisory, Alternative Investments, Cross-border..., Fixed Income, Financial Markets, Prime Brokerage, Equity Trading, Asset Management, Trading, Finance
Education
Georgetown University Law Center 1996 — 1998
LLM, Securities and Financial Regulation
American University, Washington College of Law 1991 — 1994
Doctor of Law (J.D.)
American University 1985 — 1988
Bachelor of Science (BS), Finance, General
Marblehead High School 1981 — 1984
Michael Budzinski's National Association of Securities Dealers, Inc. Experience 1993 - 1995
Job ManagerEditing at Federal Reserve Board
Industry Financial Services
Experience
Federal Reserve Board February 2008 - Present
Investment Company Institute February 1995 - February 2008
National Association of Securities Dealers, Inc. 1993 - 1995
Calvert Group 1987 - 1992
Skills
Strategic Communications, Marketing, Newsletters, Editing, Management, Media Relations, Speech Writing, Writing, Corporate Communications, Strategy, Web Content Management, Marketing Communications, Digital Media, Internal Communications, Research, Creative Writing, Editorial, Journalism, Social Media, Marketing Strategy, Press Releases, Public Relations
Education
University of Maryland 1979 — 1984
B.A., Journalism
Westminster High School 1975 — 1979
Federal Reserve Board February 2008 - Present
Investment Company Institute February 1995 - February 2008
National Association of Securities Dealers, Inc. 1993 - 1995
Calvert Group 1987 - 1992
Skills
Strategic Communications, Marketing, Newsletters, Editing, Management, Media Relations, Speech Writing, Writing, Corporate Communications, Strategy, Web Content Management, Marketing Communications, Digital Media, Internal Communications, Research, Creative Writing, Editorial, Journalism, Social Media, Marketing Strategy, Press Releases, Public Relations
Education
University of Maryland 1979 — 1984
B.A., Journalism
Westminster High School 1975 — 1979
Leith Mondry's National Association of Securities Dealers, Inc. Experience March 1998 - June 1999
Job Development Director at One World Education
Industry Writing and Editing
Experience
One World Education September 2011 - Present
Nickelodeon's ParentsConnect.com October 2003 - June 2011
The Nasdaq Stock Market, Inc. July 2001 - October 2002
The Nasdaq Stock Market, Inc. July 1999 - June 2001
Self Employed January 1998 - January 2000
National Association of Securities Dealers, Inc. March 1998 - June 1999
National Association of Securities Dealers, Inc. August 1997 - February 1998
National Association of Securities Dealers, Inc. November 1994 - August 1997
A New Light and HELP Suffolk September 1991 - June 1993
Skills
Copy Editing, Web Content, Editing, Newsletters, Social Media, Research, Editorial, Nonprofits, Content Development, Press Releases, Strategic Communications, Marketing, Proofreading, Copywriting, Blogging, AP Style, Storytelling, Content Strategy
Education
SUNY at Stony Brook, School of Social Welfare 1991 — 1993
MSW, Planning, Administration and Research; Sociology
Bryn Mawr College 1987 — 1991
AB, Sociology
One World Education September 2011 - Present
Nickelodeon's ParentsConnect.com October 2003 - June 2011
The Nasdaq Stock Market, Inc. July 2001 - October 2002
The Nasdaq Stock Market, Inc. July 1999 - June 2001
Self Employed January 1998 - January 2000
National Association of Securities Dealers, Inc. March 1998 - June 1999
National Association of Securities Dealers, Inc. August 1997 - February 1998
National Association of Securities Dealers, Inc. November 1994 - August 1997
A New Light and HELP Suffolk September 1991 - June 1993
Skills
Copy Editing, Web Content, Editing, Newsletters, Social Media, Research, Editorial, Nonprofits, Content Development, Press Releases, Strategic Communications, Marketing, Proofreading, Copywriting, Blogging, AP Style, Storytelling, Content Strategy
Education
SUNY at Stony Brook, School of Social Welfare 1991 — 1993
MSW, Planning, Administration and Research; Sociology
Bryn Mawr College 1987 — 1991
AB, Sociology
Frederick J. Otto's National Association of Securities Dealers, Inc. Experience 1973 - 1975
Job Secretary at Otto & Settanni, P.C.
Industry Law Practice
Experience
Otto & Settanni, P.C. March 2010 - Present
Otto & Associates June 1984 - 2013
Rotary District 6450 July 2000 - June 2001
Gottlieb & Schwartz 1978 - 1981
National Association of Securities Dealers, Inc. 1973 - 1975
Skills
Securities, Tax, Corporate Law, Intellectual Property, Litigation, Legal Assistance, Patents, Legal Advice, Entrepreneurship, Start-ups, Contract Negotiation, Trusts, Leadership, Patent Prosecution, Arbitration, Trademarks, Estate Planning, Copyright Law, Business Strategy, Bankruptcy, Wills, Small Business, Mergers & Acquisitions, Due Diligence, Appeals, Legal Research, Joint Ventures, Courts, Product Liability, Commercial Litigation, Unfair Competition, Litigation Management, Legal Issues, Licensing, Management, Alternative Dispute..., Legal Writing, Dispute Resolution, Trademark Infringement, International Law, Patent Litigation, Civil Litigation, Employment Law, Trade Secrets, Corporate Governance, Nonprofits, Administrative Law, Mediation, Prosecution, Criminal Law
Education
John Marshall Law School 1984 — 1990
L.L.M., Intellectual Property Law
DePaul University College of Law 1981 — 1983
L.L.M., Taxation
University of Nebraska-Lincoln 1970 — 1973
J.D., Law
University of Nebraska-Lincoln 1966 — 1971
B.S., Mathematics, Economics, Electrical Engineering and computer science
Otto & Settanni, P.C. March 2010 - Present
Otto & Associates June 1984 - 2013
Rotary District 6450 July 2000 - June 2001
Gottlieb & Schwartz 1978 - 1981
National Association of Securities Dealers, Inc. 1973 - 1975
Skills
Securities, Tax, Corporate Law, Intellectual Property, Litigation, Legal Assistance, Patents, Legal Advice, Entrepreneurship, Start-ups, Contract Negotiation, Trusts, Leadership, Patent Prosecution, Arbitration, Trademarks, Estate Planning, Copyright Law, Business Strategy, Bankruptcy, Wills, Small Business, Mergers & Acquisitions, Due Diligence, Appeals, Legal Research, Joint Ventures, Courts, Product Liability, Commercial Litigation, Unfair Competition, Litigation Management, Legal Issues, Licensing, Management, Alternative Dispute..., Legal Writing, Dispute Resolution, Trademark Infringement, International Law, Patent Litigation, Civil Litigation, Employment Law, Trade Secrets, Corporate Governance, Nonprofits, Administrative Law, Mediation, Prosecution, Criminal Law
Education
John Marshall Law School 1984 — 1990
L.L.M., Intellectual Property Law
DePaul University College of Law 1981 — 1983
L.L.M., Taxation
University of Nebraska-Lincoln 1970 — 1973
J.D., Law
University of Nebraska-Lincoln 1966 — 1971
B.S., Mathematics, Economics, Electrical Engineering and computer science
Angela Zimbrick's National Association of Securities Dealers, Inc. Experience March 1989 - March 1999
Job Manager, Global Client Relations Services at AIG
Industry Consumer Services
Experience
AIG June 2013 - Present
AIG October 2012 - May 2013
UtiliPRO Services November 2009 - October 2012
Lane Investment and Development Services, LLC February 2004 - April 2009
B/D Compliance Associates, Inc. March 2001 - December 2003
Georgia Institute of Technology September 2000 - March 2001
Oglethorpe University January 2000 - May 2000
B/D Compliance Associates, Inc. March 1999 - December 1999
National Association of Securities Dealers, Inc. March 1989 - March 1999
Skills
Customer Service, Problem Solving, Diplomacy, Process Improvement, Real Estate Transactions, Close Attention to..., Versatility, Teamwork, Microsoft Excel, Microsoft Word, Outlook, Business Letters, Office Management, Handle Confidential..., Training, Operating Budgets, Travel Planning
Education
Oglethorpe University
Bachelor of Arts in Liberal Studies, Organizational Management
AIG June 2013 - Present
AIG October 2012 - May 2013
UtiliPRO Services November 2009 - October 2012
Lane Investment and Development Services, LLC February 2004 - April 2009
B/D Compliance Associates, Inc. March 2001 - December 2003
Georgia Institute of Technology September 2000 - March 2001
Oglethorpe University January 2000 - May 2000
B/D Compliance Associates, Inc. March 1999 - December 1999
National Association of Securities Dealers, Inc. March 1989 - March 1999
Skills
Customer Service, Problem Solving, Diplomacy, Process Improvement, Real Estate Transactions, Close Attention to..., Versatility, Teamwork, Microsoft Excel, Microsoft Word, Outlook, Business Letters, Office Management, Handle Confidential..., Training, Operating Budgets, Travel Planning
Education
Oglethorpe University
Bachelor of Arts in Liberal Studies, Organizational Management
Douglas Shulman's National Association of Securities Dealers, Inc. Experience June 1999 - September 2002
Job Millennium Management LLC
Industry Investment Management
Experience
Millennium Management LLC April 2014 - Present
Kinetic Partners LLP July 2013 - April 2014
Two Sigma Advisers, LLC January 2012 - June 2013
Two Sigma Investments, LLC; Two Sigma Advisers, LLC January 2008 - December 2011
Basswood Capital Management, LLC July 2005 - December 2007
Citigroup – Smith Barney, Inc. February 2004 - July 2005
Franklin Resources, Inc. September 2002 - January 2004
National Association of Securities Dealers, Inc. June 1999 - September 2002
Skills
Hedge Funds, Equities, Investment Advisers Act, Alternative Investments, Securities Regulation, FINRA, Investments, Fixed Income, Broker-Dealer, SEC, Trading, Asset Allocation, Securities
Education
Brooklyn Law School 1993 — 1996
Juris Doctor; Admited to practice law in New York
Brandeis University 1989 — 1993
Bachelor of Arts
Millennium Management LLC April 2014 - Present
Kinetic Partners LLP July 2013 - April 2014
Two Sigma Advisers, LLC January 2012 - June 2013
Two Sigma Investments, LLC; Two Sigma Advisers, LLC January 2008 - December 2011
Basswood Capital Management, LLC July 2005 - December 2007
Citigroup – Smith Barney, Inc. February 2004 - July 2005
Franklin Resources, Inc. September 2002 - January 2004
National Association of Securities Dealers, Inc. June 1999 - September 2002
Skills
Hedge Funds, Equities, Investment Advisers Act, Alternative Investments, Securities Regulation, FINRA, Investments, Fixed Income, Broker-Dealer, SEC, Trading, Asset Allocation, Securities
Education
Brooklyn Law School 1993 — 1996
Juris Doctor; Admited to practice law in New York
Brandeis University 1989 — 1993
Bachelor of Arts
Tinhvan Phan's National Association of Securities Dealers, Inc. Experience September 1993 - July 1999
Job Programmer at Financial Industry Regulatory Authority
Industry Computer Software
Experience
Financial Industry Regulatory Authority February 2012 - Present
HP Enterprise Services July 1999 - June 2012
National Association of Securities Dealers, Inc. September 1993 - July 1999
PRC 1989 - 1993
Skills
Oracle, Requirements Analysis, SDLC, Integration, Software Project..., SQL, ITIL, IT Strategy, PeopleSoft, Business Process, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Requirements Gathering, Solution Architecture, SharePoint
Education
George Mason University 1985 — 1989
BS, Decision Sciences, concentration in Information Resource Management
Financial Industry Regulatory Authority February 2012 - Present
HP Enterprise Services July 1999 - June 2012
National Association of Securities Dealers, Inc. September 1993 - July 1999
PRC 1989 - 1993
Skills
Oracle, Requirements Analysis, SDLC, Integration, Software Project..., SQL, ITIL, IT Strategy, PeopleSoft, Business Process, Enterprise Architecture, SOA, Data Warehousing, Agile Methodologies, Requirements Gathering, Solution Architecture, SharePoint
Education
George Mason University 1985 — 1989
BS, Decision Sciences, concentration in Information Resource Management
Anthony Del Re's National Association of Securities Dealers, Inc. Experience October 1986 - June 1988
Job Chief Risk Officer, Americas at HSBC Global Asset Managment (USA) Inc.
Industry Investment Management
Experience
HSBC Global Asset Managment (USA), Inc. September 2007 - October 2014
Fortis Investment Management August 2002 - September 2007
BondBook, LLC January 2001 - June 2002
PaineWebber, Inc. April 1997 - December 2000
BankAmerica Securities, Inc. September 1996 - April 1997
Citicorp Securities, Inc. November 1989 - August 1996
PaineWebber, Inc. June 1988 - November 1989
National Association of Securities Dealers, Inc. October 1986 - June 1988
Skills
Risk Management, Portfolio Management, Fixed Income, Financial Risk, Capital Markets, Trading, Asset Management, Operational Risk, Corporate Finance, Investments, Management
Education
American Graduate School of International Management 1983 — 1985
Certifcado De Estudios De Postgrado, Finance
Cornell University 1979 — 1983
Bachelor's Degree, Government
HSBC Global Asset Managment (USA), Inc. September 2007 - October 2014
Fortis Investment Management August 2002 - September 2007
BondBook, LLC January 2001 - June 2002
PaineWebber, Inc. April 1997 - December 2000
BankAmerica Securities, Inc. September 1996 - April 1997
Citicorp Securities, Inc. November 1989 - August 1996
PaineWebber, Inc. June 1988 - November 1989
National Association of Securities Dealers, Inc. October 1986 - June 1988
Skills
Risk Management, Portfolio Management, Fixed Income, Financial Risk, Capital Markets, Trading, Asset Management, Operational Risk, Corporate Finance, Investments, Management
Education
American Graduate School of International Management 1983 — 1985
Certifcado De Estudios De Postgrado, Finance
Cornell University 1979 — 1983
Bachelor's Degree, Government