National Association of Securities Dealers (NASD)
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 (NASD) Employees
Employee
Years
Job
Industry
Stephanie Winston Stephanie Winston's National Association of Securities Dealers (NASD) Experience October 1994 - January 1996
Job Paralegal at The Law Office of D. Renee Jackson (Part Time Contract Role)
Industry Legal Services
Experience
Illinois Education Association March 2015 - Present
The Law Office of D. Renee Jackson May 2014 - November 2014
Bankers Life and Casualty October 2011 - May 2014
McDermott & Krupa March 2010 - February 2011
Boundas Skarzynski Walsh & Black, LLP September 2003 - March 2010
Meachum, Spahr, Cozzi Postel & Earl January 2002 - September 2003
Burke, Costanza & Cuppy, LLP September 2001 - January 2002
Beckman, Kelly & Smith January 1996 - August 2001
National Association of Securities Dealers (NASD) October 1994 - January 1996
Skills
Litigation, Wordperfect, Paralegals, Subrogation, Legal Writing, Electronic Filing, Notary Public, Product Liability, Personal Injury..., Civil Litigation, Medical Malpractice, Legal Research, Torts, Liability, Pleadings, Commercial Litigation, Family Law, Personal Injury, Litigation Support, Microsoft Excel, Mediation, Courts, Depositions, Corporate Law, WordPerfect
Education
Roosevelt University 1991 — 1992
Paralegal Certificate, Paralegal
Eastern Illinois University 1986 — 1990
Bachelor, Sociology
Illinois Education Association March 2015 - Present
The Law Office of D. Renee Jackson May 2014 - November 2014
Bankers Life and Casualty October 2011 - May 2014
McDermott & Krupa March 2010 - February 2011
Boundas Skarzynski Walsh & Black, LLP September 2003 - March 2010
Meachum, Spahr, Cozzi Postel & Earl January 2002 - September 2003
Burke, Costanza & Cuppy, LLP September 2001 - January 2002
Beckman, Kelly & Smith January 1996 - August 2001
National Association of Securities Dealers (NASD) October 1994 - January 1996
Skills
Litigation, Wordperfect, Paralegals, Subrogation, Legal Writing, Electronic Filing, Notary Public, Product Liability, Personal Injury..., Civil Litigation, Medical Malpractice, Legal Research, Torts, Liability, Pleadings, Commercial Litigation, Family Law, Personal Injury, Litigation Support, Microsoft Excel, Mediation, Courts, Depositions, Corporate Law, WordPerfect
Education
Roosevelt University 1991 — 1992
Paralegal Certificate, Paralegal
Eastern Illinois University 1986 — 1990
Bachelor, Sociology
Erica Vaters Erica Vaters's National Association of Securities Dealers (NASD) Experience February 1992 - January 1995
Job Vice President Compliance at Fidelity Institutional
Industry Financial Services
Experience
Fidelity Institutional January 2013 - Present
Fidelity Capital Markets January 2005 - January 2013
Fidelity Capital Markets January 2003 - 2005
Fidelity Investments October 1999 - January 2003
State Street Capital Markets February 1999 - October 1999
Fidelity Capital Markets September 1996 - February 1999
Fidelity Investments January 1995 - September 1996
National Association of Securities Dealers (NASD) February 1992 - January 1995
Skills
Securities, Equities, Fixed Income, FINRA, Financial Services, Prime Brokerage, Equity Trading, Securities Lending, Risk Management, Series 24, Capital Markets, Securities Regulation, Series 7, Options, Asset Management, Bloomberg, Trading, Hedge Funds, Derivatives, Compliance, Financial Markets
Education
Bryant University 1989 — 1991
BSBA, Finance
Mohegan Community College 1987 — 1989
Associate Degree, Accounting
Fidelity Institutional January 2013 - Present
Fidelity Capital Markets January 2005 - January 2013
Fidelity Capital Markets January 2003 - 2005
Fidelity Investments October 1999 - January 2003
State Street Capital Markets February 1999 - October 1999
Fidelity Capital Markets September 1996 - February 1999
Fidelity Investments January 1995 - September 1996
National Association of Securities Dealers (NASD) February 1992 - January 1995
Skills
Securities, Equities, Fixed Income, FINRA, Financial Services, Prime Brokerage, Equity Trading, Securities Lending, Risk Management, Series 24, Capital Markets, Securities Regulation, Series 7, Options, Asset Management, Bloomberg, Trading, Hedge Funds, Derivatives, Compliance, Financial Markets
Education
Bryant University 1989 — 1991
BSBA, Finance
Mohegan Community College 1987 — 1989
Associate Degree, Accounting
Phil Buckberg Phil Buckberg's National Association of Securities Dealers (NASD) Experience February 2005 - December 2007
Job Implementation−Conversion Manager at FIS
Industry Computer Software
Experience
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
FIS January 2015 - Present
Advantage Industries August 2008 - January 2015
FINRA February 2008 - August 2008
FINRA (Financial Industry Regulatory Authority) January 2007 - February 2008
National Association of Securities Dealers (NASD) February 2005 - December 2007
USDA December 2001 - February 2005
Xerox June 1999 - December 2001
United States Postal Service July 1995 - June 1999
Xerox February 1990 - July 1995
Skills
Microsoft Office, Business Analysis, Project Management, Technical Writing, Software Development, Software Project..., PMO, Disaster Recovery, SDLC, Business Development, Strategic Planning, Quality Assurance, Proposal Writing, Risk Management, Management Consulting, Performance Management, Change Management, Business Process, Contract Management, Agile Project Management, IT Strategy, Team Leadership, IT Management, Team Building, Business Strategy, Process Improvement, PMP
Education
Virginia Polytechnic Institute and State University 1978 — 1982
BA, Economics
Montgomery College 2013 — 2013
Project Management, PMP Certification
Rosa Angelica Maymi Rosa Angelica Maymi's National Association of Securities Dealers (NASD) Experience July 1995 - May 2003
Job Outreach, Communications, and Education Professional
Industry Nonprofit Organization Management
Experience
AARP Foundation October 2015 - Present
AARP November 2011 - October 2015
Financial Industry Regulatory Authority (FINRA) May 2003 - November 2011
National Association of Securities Dealers (NASD) July 1995 - May 2003
Skills
Financial Education, Educational Outreach, Corporate Communications, Stakeholder Engagement, Writing, Editing, Public Speaking, Public Relations, Educational Leadership, Coalitions, Non-profits, Strategic Communications, Media Relations, Nonprofits, Speech Writing, Policy Analysis, Public Policy, Community Outreach, Fundraising, Internal Communications, Community Development, Crisis Communications, Program Management
Education
University of Maryland College Park 1985 — 1987
Master of Arts, Journalism
University of Maryland College Park 1982 — 1984
Bachelor of Science, Journalism
Oakland Mills High School 1978 — 1981
AARP Foundation October 2015 - Present
AARP November 2011 - October 2015
Financial Industry Regulatory Authority (FINRA) May 2003 - November 2011
National Association of Securities Dealers (NASD) July 1995 - May 2003
Skills
Financial Education, Educational Outreach, Corporate Communications, Stakeholder Engagement, Writing, Editing, Public Speaking, Public Relations, Educational Leadership, Coalitions, Non-profits, Strategic Communications, Media Relations, Nonprofits, Speech Writing, Policy Analysis, Public Policy, Community Outreach, Fundraising, Internal Communications, Community Development, Crisis Communications, Program Management
Education
University of Maryland College Park 1985 — 1987
Master of Arts, Journalism
University of Maryland College Park 1982 — 1984
Bachelor of Science, Journalism
Oakland Mills High School 1978 — 1981
Jenise Davis Jenise Davis's National Association of Securities Dealers (NASD) Experience July 1982 - December 1992
Job Principal Consultant/Producer
Industry Information Technology and Services
Experience
Jenise Davis Productions, LLC January 2009 - Present
Global Technologies & Strategic Marketing, Inc. June 2003 - Present
Keane Federal Systems June 2002 - June 2003
Vision Systems and Technology, Inc. (VSTI) June 2001 - June 2002
SAIC December 1999 - November 2001
Preston Gates & Ellis, Rouevelas Meeds, LLP December 1992 - December 1999
National Association of Securities Dealers (NASD) July 1982 - December 1992
Skills
Marketing, Marketing Strategy, Strategic Planning, Screenwriting, Post Production, Producing, Film, Film Production, Entertainment, Acting, Theatre, Television, Commercials, Video Production, Feature Films, Analysis, Voice Over, Social Media, Systems Engineering, Stage, Broadcast, Directing, Video, Social Networking, Signals Intelligence..., Electronic Intelligence..., Communications..., Geolocation..., Data Modeling, GSM Architecture, Telephony Technologies, Department of Defense..., Porters Five Forces..., Requirements Analysis, Relational Data Modeling, Unified Modeling..., IT Strategy, Satellite Communication..., Computer Network..., Digital Network..., Telephony Protocols, SMS, LTE, CDMA, UMTS, HPCP, IPsec
Education
University of Maryland University College 1998 — 2001
MS International Management/Marketing, International Business and International Marketing
University of the District of Columbia 1994 — 1998
BS Business Administration/Marketing, Business and Marketing
Jenise Davis Productions, LLC January 2009 - Present
Global Technologies & Strategic Marketing, Inc. June 2003 - Present
Keane Federal Systems June 2002 - June 2003
Vision Systems and Technology, Inc. (VSTI) June 2001 - June 2002
SAIC December 1999 - November 2001
Preston Gates & Ellis, Rouevelas Meeds, LLP December 1992 - December 1999
National Association of Securities Dealers (NASD) July 1982 - December 1992
Skills
Marketing, Marketing Strategy, Strategic Planning, Screenwriting, Post Production, Producing, Film, Film Production, Entertainment, Acting, Theatre, Television, Commercials, Video Production, Feature Films, Analysis, Voice Over, Social Media, Systems Engineering, Stage, Broadcast, Directing, Video, Social Networking, Signals Intelligence..., Electronic Intelligence..., Communications..., Geolocation..., Data Modeling, GSM Architecture, Telephony Technologies, Department of Defense..., Porters Five Forces..., Requirements Analysis, Relational Data Modeling, Unified Modeling..., IT Strategy, Satellite Communication..., Computer Network..., Digital Network..., Telephony Protocols, SMS, LTE, CDMA, UMTS, HPCP, IPsec
Education
University of Maryland University College 1998 — 2001
MS International Management/Marketing, International Business and International Marketing
University of the District of Columbia 1994 — 1998
BS Business Administration/Marketing, Business and Marketing
Veronica Hulse Veronica Hulse's National Association of Securities Dealers (NASD) Experience 1989 - 1992
Job Technical Recruiter at The Hulse Group Inc.
Industry Staffing and Recruiting
Experience
The Hulse Group Inc. January 2010 - Present
BARKER HULSE Recruiting March 2002 - December 2009
Search Connection 1995 - 2002
KPMG 1993 - 1995
Independent Consultant 1992 - 1992
AMISYS 1991 - 1992
National Association of Securities Dealers (NASD) 1989 - 1992
The Ryland Group 1986 - 1989
Group Health Association 1985 - 1986
Cognos Corporation 1984 - 1985
Skills
Technical Recruiting, Talent Acquisition, Direct Sourcing, Candidate Screening, Candidate Generation, Direct Recruiting
Education
University of Maryland Baltimore County
BS, Information Systems
The Hulse Group Inc. January 2010 - Present
BARKER HULSE Recruiting March 2002 - December 2009
Search Connection 1995 - 2002
KPMG 1993 - 1995
Independent Consultant 1992 - 1992
AMISYS 1991 - 1992
National Association of Securities Dealers (NASD) 1989 - 1992
The Ryland Group 1986 - 1989
Group Health Association 1985 - 1986
Cognos Corporation 1984 - 1985
Skills
Technical Recruiting, Talent Acquisition, Direct Sourcing, Candidate Screening, Candidate Generation, Direct Recruiting
Education
University of Maryland Baltimore County
BS, Information Systems
Lloyd Hooper Lloyd Hooper's National Association of Securities Dealers (NASD) Experience July 1999 - December 2000
Job Sr. Software Engineer at SAIC
Industry Computer Software
Experience
Contractor to EIS for USCIS February 2004 - Present
SAIC 2004 - Present
Pinnacle Software Consulting Inc 2007 - 2010
Perot Systems Government Services March 2002 - January 2005
NASDAQ Stock Market January 2002 - August 2003
Electronic Data Systems Corporation (EDS) January 2001 - March 2002
National Association of Securities Dealers (NASD) July 1999 - December 2000
National Association of Securities Dealers (NASD) March 1998 - June 1999
National Association of Securities Dealers (NASD) May 1997 - March 1998
MAMSI December 1996 - May 1997
Education
Qualityn Assurance Institute (QAI) 2003 — 2004
CSTE, Certified System Test Engineer
Strayer University
Contractor to EIS for USCIS February 2004 - Present
SAIC 2004 - Present
Pinnacle Software Consulting Inc 2007 - 2010
Perot Systems Government Services March 2002 - January 2005
NASDAQ Stock Market January 2002 - August 2003
Electronic Data Systems Corporation (EDS) January 2001 - March 2002
National Association of Securities Dealers (NASD) July 1999 - December 2000
National Association of Securities Dealers (NASD) March 1998 - June 1999
National Association of Securities Dealers (NASD) May 1997 - March 1998
MAMSI December 1996 - May 1997
Education
Qualityn Assurance Institute (QAI) 2003 — 2004
CSTE, Certified System Test Engineer
Strayer University
Rodney V. Dawson Rodney V. Dawson's National Association of Securities Dealers (NASD) Experience November 1983 - December 1992
Job Deputy Manager Operations at IGATE Technologies, Inc.
Industry Financial Services
Experience
IGATE Technologies, Inc. October 2013 - Present
Independent Consultant March 2010 - October 2013
JPMorganChase January 2005 - February 2010
Independent Consultant August 2002 - December 2004
Alliance Capital Management Corporation February 1999 - August 2002
Merrill Lynch March 1994 - February 1999
Mellon Securities Transfer Services August 1993 - March 1994
Salomon Brothers, Inc. June 1993 - August 1993
National Association of Securities Dealers (NASD) November 1983 - December 1992
Skills
Risk Management, Financial Services, Fixed Income, Management, Business Analysis, Finance, Securities, Analysis, Equities, Financial Risk, Bloomberg, CRM, Credit Risk, Banking, Process Improvement, Investment Banking, Portfolio Management, Training, Trading, Data Integrity, Market Risk, Program Management, Strategic Planning, Financial Analysis, Credit, Recruiting, Account Reconciliation, Customer Service, Internal Controls, Operational Support, Operations Management, Asset Management, Financial Markets, Research, Vendor Relationships, Back Office, Middle Office, Settlement, Asset Managment, Operations, Monitoring Source..., Exception Maintenance, Security Master..., Vendor Relationship, Compliance, Quality Assurance, Client Relationship, Trade Reporting, Clearing, Bonds
Education
Hampton University
B.S., Finance
Bergen Community College - School of Continuing Education
Teaneck Community Education Center
IGATE Technologies, Inc. October 2013 - Present
Independent Consultant March 2010 - October 2013
JPMorganChase January 2005 - February 2010
Independent Consultant August 2002 - December 2004
Alliance Capital Management Corporation February 1999 - August 2002
Merrill Lynch March 1994 - February 1999
Mellon Securities Transfer Services August 1993 - March 1994
Salomon Brothers, Inc. June 1993 - August 1993
National Association of Securities Dealers (NASD) November 1983 - December 1992
Skills
Risk Management, Financial Services, Fixed Income, Management, Business Analysis, Finance, Securities, Analysis, Equities, Financial Risk, Bloomberg, CRM, Credit Risk, Banking, Process Improvement, Investment Banking, Portfolio Management, Training, Trading, Data Integrity, Market Risk, Program Management, Strategic Planning, Financial Analysis, Credit, Recruiting, Account Reconciliation, Customer Service, Internal Controls, Operational Support, Operations Management, Asset Management, Financial Markets, Research, Vendor Relationships, Back Office, Middle Office, Settlement, Asset Managment, Operations, Monitoring Source..., Exception Maintenance, Security Master..., Vendor Relationship, Compliance, Quality Assurance, Client Relationship, Trade Reporting, Clearing, Bonds
Education
Hampton University
B.S., Finance
Bergen Community College - School of Continuing Education
Teaneck Community Education Center
Stephen Miller, CEBS Stephen Miller, CEBS's National Association of Securities Dealers (NASD) Experience 2002 - 2003
Job Manager/Editor of Online Content—Compensation & Benefits at Society for Human Resource Management (@SHRMsmiiller)
Industry Human Resources
Experience
Society for Human Resource Management (SHRM) January 2004 - Present
National Association of Securities Dealers (NASD) 2002 - 2003
Society of Competitive Intelligence Professionals (SCIP) 1996 - 2002
Depository Trust Company (DTC) April 1994 - July 1995
American Institute of CPAs (AICPA) September 1984 - April 1994
Skills
Editing, Newsletters, Web Content, Magazines, Personnel Management, Program Management, Strategy, Web Analytics, Organizational..., Employee Benefits, Copywriting, Social Networking, Interviews, Crisis Communications, Deferred Compensation, Publications, Publishing, Management, Human Resources, Storytelling, Nonprofits, Editorial, Social Media, Leadership Development, Media Relations, Books, Public Relations, Internal Communications, Corporate Communications, Copy Editing, Public Speaking, Analysis, Press Releases, Strategic Communications, Blogging, Video Production, Marketing Communications, Journalism, Online News
Education
New York University 1985 — 1987
M.A., Journalism and Mass Communications
Wesleyan University 1976 — 1979
B.A.
Society for Human Resource Management (SHRM) January 2004 - Present
National Association of Securities Dealers (NASD) 2002 - 2003
Society of Competitive Intelligence Professionals (SCIP) 1996 - 2002
Depository Trust Company (DTC) April 1994 - July 1995
American Institute of CPAs (AICPA) September 1984 - April 1994
Skills
Editing, Newsletters, Web Content, Magazines, Personnel Management, Program Management, Strategy, Web Analytics, Organizational..., Employee Benefits, Copywriting, Social Networking, Interviews, Crisis Communications, Deferred Compensation, Publications, Publishing, Management, Human Resources, Storytelling, Nonprofits, Editorial, Social Media, Leadership Development, Media Relations, Books, Public Relations, Internal Communications, Corporate Communications, Copy Editing, Public Speaking, Analysis, Press Releases, Strategic Communications, Blogging, Video Production, Marketing Communications, Journalism, Online News
Education
New York University 1985 — 1987
M.A., Journalism and Mass Communications
Wesleyan University 1976 — 1979
B.A.
Stratis Philippis Stratis Philippis's National Association of Securities Dealers (NASD) Experience May 2005 - August 2005
Job Deputy General Counsel at NBTY, Inc.
Industry Law Practice
Experience
NBTY Associate General CounselNBTY, Inc.July 2012 - Present
Debevoise & Plimpton February 2008 - July 2012
Cadwalader, Wickersham & Taft LLP September 2006 - February 2008
Securities & Exchange Commission September 2005 - December 2005
National Association of Securities Dealers (NASD) May 2005 - August 2005
New York Stock Exchange January 2005 - May 2005
Skills
Corporate Law, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Litigation, Private Equity
Education
St John's University - School of Law 2003 — 2006
Doctor of Law (JD)
St John's University - Graduate School of Business 2003 — 2006
Master of Business Administration (M.B.A.), Finance, General
Fordham University 1999 — 2002
Bachelor's degree, Economics
NBTY Associate General CounselNBTY, Inc.July 2012 - Present
Debevoise & Plimpton February 2008 - July 2012
Cadwalader, Wickersham & Taft LLP September 2006 - February 2008
Securities & Exchange Commission September 2005 - December 2005
National Association of Securities Dealers (NASD) May 2005 - August 2005
New York Stock Exchange January 2005 - May 2005
Skills
Corporate Law, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Corporate Governance, Litigation, Private Equity
Education
St John's University - School of Law 2003 — 2006
Doctor of Law (JD)
St John's University - Graduate School of Business 2003 — 2006
Master of Business Administration (M.B.A.), Finance, General
Fordham University 1999 — 2002
Bachelor's degree, Economics
Meghan (Luck) Darrow, CFA's National Association of Securities Dealers (NASD) Experience 2003 - 2003
Job Healthcare and real estate focused private equity investments at Formation Capital
Industry Financial Services
Experience
Formation Capital August 2014 - Present
Deloitte June 2012 - August 2014
Jamestown 2005 - 2012
Wachovia / Wells Fargo 2004 - 2005
National Association of Securities Dealers (NASD) 2003 - 2003
Skills
Financial Modeling, Credit, Finance, Investments, Due Diligence, Valuation, Asset Managment, Financial Risk, Accounting, Venture Capital, Real Estate, Risk Management, Real Estate Economics, US GAAP, Credit Analysis, Loans, Equities, Mergers & Acquisitions, Analysis, Cash Flow, Structured Finance, Financial Structuring, Acquisitions, Private Equity
Education
Emory University 2000 — 2004
BS, Economics
CFA Charterholder
International School Bangkok
Taipei American School
Formation Capital August 2014 - Present
Deloitte June 2012 - August 2014
Jamestown 2005 - 2012
Wachovia / Wells Fargo 2004 - 2005
National Association of Securities Dealers (NASD) 2003 - 2003
Skills
Financial Modeling, Credit, Finance, Investments, Due Diligence, Valuation, Asset Managment, Financial Risk, Accounting, Venture Capital, Real Estate, Risk Management, Real Estate Economics, US GAAP, Credit Analysis, Loans, Equities, Mergers & Acquisitions, Analysis, Cash Flow, Structured Finance, Financial Structuring, Acquisitions, Private Equity
Education
Emory University 2000 — 2004
BS, Economics
CFA Charterholder
International School Bangkok
Taipei American School
Rathin Chowdhury CA, FCA Rathin Chowdhury CA, FCA's National Association of Securities Dealers (NASD) Experience 1999 - 2006
Job Bank Examiner at State Of New York Dept. of Financial Services
Industry Accounting
Experience
State of New York - Dept. of Financial Services June 2015 - Present
Long Island and greater New York area March 2014 - May 2015
Financial Industry Regulatory Authority (FINRA) 2007 - February 2014
National Association of Securities Dealers (NASD) 1999 - 2006
Dept. of Public Works., Govt. of Canada 1992 - 1998
Auditor General of Canada, Ottawa, Canada 1984 - 1991
Levy Hyams & Co., London, England 1981 - 1984
Price Waterhouse & Co., Chartered Accountants, London, England 1980 - 1981
SB Manufacturing Co. (Cloth Manufacturing Co.) 1979 - 1980
Skills
Auditing, Finance, Strategic Financial..., Investments, Financial Analysis, Securities, Wealth Management, Mutual Funds, Financial Modeling, Equities, Portfolio Management, Financial Risk, Capital Markets, Alternative Investments, Asset Management, Risk Management, Investment Advisory, Financial Planning, Sarbanes-Oxley Act, Accounting, GAAP
Education
Canadian Institute Of Chartered Accountants 1981 — 1983
CA, Associate Member
Institute of Chartered Accountants in England and Wales 1976 — 1980
Fellow Chartered Accountant (FCA), Fellow Member
University of Chittagong 1970 — 1972
Master Of Commerce, Finance and Accounting
State of New York - Dept. of Financial Services June 2015 - Present
Long Island and greater New York area March 2014 - May 2015
Financial Industry Regulatory Authority (FINRA) 2007 - February 2014
National Association of Securities Dealers (NASD) 1999 - 2006
Dept. of Public Works., Govt. of Canada 1992 - 1998
Auditor General of Canada, Ottawa, Canada 1984 - 1991
Levy Hyams & Co., London, England 1981 - 1984
Price Waterhouse & Co., Chartered Accountants, London, England 1980 - 1981
SB Manufacturing Co. (Cloth Manufacturing Co.) 1979 - 1980
Skills
Auditing, Finance, Strategic Financial..., Investments, Financial Analysis, Securities, Wealth Management, Mutual Funds, Financial Modeling, Equities, Portfolio Management, Financial Risk, Capital Markets, Alternative Investments, Asset Management, Risk Management, Investment Advisory, Financial Planning, Sarbanes-Oxley Act, Accounting, GAAP
Education
Canadian Institute Of Chartered Accountants 1981 — 1983
CA, Associate Member
Institute of Chartered Accountants in England and Wales 1976 — 1980
Fellow Chartered Accountant (FCA), Fellow Member
University of Chittagong 1970 — 1972
Master Of Commerce, Finance and Accounting
Sudhir Bhat, CFA's National Association of Securities Dealers (NASD) Experience 1996 - 1998
Job Portfolio Manager at Loomis, Sayles & Company
Industry Investment Management
Experience
Loomis, Sayles & Company June 2010 - Present
BNP Paribas, New York April 2003 - May 2010
Prudential Financial May 1999 - December 2002
National Association of Securities Dealers (NASD) 1996 - 1998
Skills
Fixed Income, Derivatives, Trading, Options, Portfolio Management, Valuation, Risk Management, MBS, Interest Rate Swaps, Rates, Treasury, Bloomberg, Capital Markets, Asset Management, Bonds, Structured Products, Investments, Financial Modeling, Financial Markets, Investment Management
Education
New York University -Leonard N. Stern School of Business 2001 — 2003
MBA
Indian Institute of Technology, Kanpur 1993 — 1995
MTech
Victoria Jubilee Technical Institute 1989 — 1993
BE
Loomis, Sayles & Company June 2010 - Present
BNP Paribas, New York April 2003 - May 2010
Prudential Financial May 1999 - December 2002
National Association of Securities Dealers (NASD) 1996 - 1998
Skills
Fixed Income, Derivatives, Trading, Options, Portfolio Management, Valuation, Risk Management, MBS, Interest Rate Swaps, Rates, Treasury, Bloomberg, Capital Markets, Asset Management, Bonds, Structured Products, Investments, Financial Modeling, Financial Markets, Investment Management
Education
New York University -Leonard N. Stern School of Business 2001 — 2003
MBA
Indian Institute of Technology, Kanpur 1993 — 1995
MTech
Victoria Jubilee Technical Institute 1989 — 1993
BE
Peter Griffiths's National Association of Securities Dealers (NASD) Experience 1984 - 1988
Job Vice President, I.T. at Westway Group
Industry Information Technology and Services
Experience
Westway Group, LLC September 2011 - Present
Westway Group, Inc November 2008 - September 2011
Westway Holdings Corporation October 2000 - October 2008
Westway Holdings Corporation September 1997 - September 2000
JPHSA August 1993 - September 1997
CompuVend May 1992 - August 1993
Robertson Roofing June 1991 - May 1992
Association of International Bond Dealers (AIBD) 1988 - May 1991
National Association of Securities Dealers (NASD) 1984 - 1988
Skills
Operations Management, Team Leadership, Logistics, Strategic Planning, Supply Chain Management, Process Improvement, Troubleshooting, Project Management, Change Management, Disaster Recovery, IT Management, Team Building, Supply Chain, IT Strategy, Vendor Management, Integration, Business Analysis, ERP, Contract Negotiation, Microsoft Office, Leadership, Management
Education
University of Phoenix 2008 — 2011
BS, IT
Grenville College
GSE 'O' & 'A' Levels, English and Economics
Westway Group, LLC September 2011 - Present
Westway Group, Inc November 2008 - September 2011
Westway Holdings Corporation October 2000 - October 2008
Westway Holdings Corporation September 1997 - September 2000
JPHSA August 1993 - September 1997
CompuVend May 1992 - August 1993
Robertson Roofing June 1991 - May 1992
Association of International Bond Dealers (AIBD) 1988 - May 1991
National Association of Securities Dealers (NASD) 1984 - 1988
Skills
Operations Management, Team Leadership, Logistics, Strategic Planning, Supply Chain Management, Process Improvement, Troubleshooting, Project Management, Change Management, Disaster Recovery, IT Management, Team Building, Supply Chain, IT Strategy, Vendor Management, Integration, Business Analysis, ERP, Contract Negotiation, Microsoft Office, Leadership, Management
Education
University of Phoenix 2008 — 2011
BS, IT
Grenville College
GSE 'O' & 'A' Levels, English and Economics
Nicole Gillikin's National Association of Securities Dealers (NASD) Experience May 2003 - August 2003
Job Senior Tax Associate at Hogan Lovells US LLP
Industry Law Practice
Experience
Hogan Lovells US LLP May 2007 - Present
PwC September 2005 - May 2007
Hebble & Associates April 2004 - July 2005
National Association of Securities Dealers (NASD) May 2003 - August 2003
McGuire & Associates November 2001 - May 2003
Skills
International Tax, Private Equity, Tax, Investments, Hedge Funds, Finance, Real Estate, Alternative Investments, Tax Law, Cross-border..., Portfolio Management, Corporate Tax
Education
New York University School of Law 2006 — 2010
LLM, Taxation
Benjamin N. Cardozo School of Law, Yeshiva University 2002 — 2005
JD, Taxation Concentration
New York University 1997 — 2000
B.A., Politics
Hogan Lovells US LLP May 2007 - Present
PwC September 2005 - May 2007
Hebble & Associates April 2004 - July 2005
National Association of Securities Dealers (NASD) May 2003 - August 2003
McGuire & Associates November 2001 - May 2003
Skills
International Tax, Private Equity, Tax, Investments, Hedge Funds, Finance, Real Estate, Alternative Investments, Tax Law, Cross-border..., Portfolio Management, Corporate Tax
Education
New York University School of Law 2006 — 2010
LLM, Taxation
Benjamin N. Cardozo School of Law, Yeshiva University 2002 — 2005
JD, Taxation Concentration
New York University 1997 — 2000
B.A., Politics
Jacquelyn Chang's National Association of Securities Dealers (NASD) Experience May 2006 - August 2006
Job Vice President at Bank of America Merrill Lynch
Industry Financial Services
Experience
Bank of America Merrill Lynch February 2014 - Present
Bank of America Merrill Lynch February 2011 - February 2014
Bank of America Merrill Lynch July 2008 - February 2011
BDS Consulting January 2006 - May 2008
Duke University August 2005 - May 2008
Merrill Lynch June 2007 - August 2007
National Association of Securities Dealers (NASD) May 2006 - August 2006
Skills
Equities, Trading, Finance, Financial Modeling, Derivatives
Education
Duke University 2004 — 2008
Bachelor of Science (BS), Economics
Capital Normal University 2005 — 2005
Study Abroad, Chinese
Bank of America Merrill Lynch February 2014 - Present
Bank of America Merrill Lynch February 2011 - February 2014
Bank of America Merrill Lynch July 2008 - February 2011
BDS Consulting January 2006 - May 2008
Duke University August 2005 - May 2008
Merrill Lynch June 2007 - August 2007
National Association of Securities Dealers (NASD) May 2006 - August 2006
Skills
Equities, Trading, Finance, Financial Modeling, Derivatives
Education
Duke University 2004 — 2008
Bachelor of Science (BS), Economics
Capital Normal University 2005 — 2005
Study Abroad, Chinese
John Komoroske's National Association of Securities Dealers (NASD) Experience 2001 - 2007
Job VP at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA), formerly NASD 2008 - 2014
City of Alexandria, Virginia 1991 - 2014
Financial Industry Regulatory Authority (FINRA) 2006 - 2008
National Association of Securities Dealers (NASD) 2001 - 2007
NASD 1988 - 2001
U.S. Securities and Exchange Commission 1985 - 1988
U.S. Securities and Exchange Commission 1982 - 1985
Office of Management & Budget, Executive Office of the President 1976 - 1982
US Attorney's Office, Eastern District of Virginia June 1981 - September 1981
Common Council, City of Bloomington IN 1975 - 1976
Skills
Securities Regulation, Legislative Relations, Public Speaking, Legislative Testimony, FINRA, Management, Securities, Budgets, Policy, Analysis, Investment Advisers Act, Investment Company Act
Education
Indiana University Bloomington 1972 — 1975
Master of Public Administration (M.P.A.), School of Public and Environmental Affairs
Indiana University Bloomington 1971 — 1974
Doctor of Law (JD), cum laude, School of Law
Union College 1967 — 1971
Bachelor of Arts (B.A.), cum laude, Political Science and Chinese
Financial Industry Regulatory Authority (FINRA), formerly NASD 2008 - 2014
City of Alexandria, Virginia 1991 - 2014
Financial Industry Regulatory Authority (FINRA) 2006 - 2008
National Association of Securities Dealers (NASD) 2001 - 2007
NASD 1988 - 2001
U.S. Securities and Exchange Commission 1985 - 1988
U.S. Securities and Exchange Commission 1982 - 1985
Office of Management & Budget, Executive Office of the President 1976 - 1982
US Attorney's Office, Eastern District of Virginia June 1981 - September 1981
Common Council, City of Bloomington IN 1975 - 1976
Skills
Securities Regulation, Legislative Relations, Public Speaking, Legislative Testimony, FINRA, Management, Securities, Budgets, Policy, Analysis, Investment Advisers Act, Investment Company Act
Education
Indiana University Bloomington 1972 — 1975
Master of Public Administration (M.P.A.), School of Public and Environmental Affairs
Indiana University Bloomington 1971 — 1974
Doctor of Law (JD), cum laude, School of Law
Union College 1967 — 1971
Bachelor of Arts (B.A.), cum laude, Political Science and Chinese
Anita (Wadelton) Ready's National Association of Securities Dealers (NASD) Experience February 1994 - July 1999
Job Senior Systems Analyst at FINRA
Industry Computer Software
Experience
FINRA October 2009 - Present
EDS January 1999 - October 2009
National Association of Securities Dealers (NASD) February 1994 - July 1999
AGS Information Services, Inc. February 1988 - January 1994
Chevy Chase Federal Savings Bank June 1986 - January 1988
Florida Federal Savings Bank August 1982 - June 1986
Skills
Requirements Analysis, SDLC, Business Analysis, Requirements Gathering, Process Improvement, Enterprise Architecture, Business Process..., SOA, Software Project..., Business Process, IT Strategy, Integration, Program Management, Data Analysis
Education
Purdue University - Krannert School of Management 1978 — 1982
B.S., Management
FINRA October 2009 - Present
EDS January 1999 - October 2009
National Association of Securities Dealers (NASD) February 1994 - July 1999
AGS Information Services, Inc. February 1988 - January 1994
Chevy Chase Federal Savings Bank June 1986 - January 1988
Florida Federal Savings Bank August 1982 - June 1986
Skills
Requirements Analysis, SDLC, Business Analysis, Requirements Gathering, Process Improvement, Enterprise Architecture, Business Process..., SOA, Software Project..., Business Process, IT Strategy, Integration, Program Management, Data Analysis
Education
Purdue University - Krannert School of Management 1978 — 1982
B.S., Management
James J. Angel's National Association of Securities Dealers (NASD) Experience 1999 - 2001
Job Associate Professor at Georgetown University's McDonough School of Business
Industry Higher Education
Experience
Georgetown University August 1991 - Present
The Wharton School August 2012 - July 2014
Direct Edge May 2010 - February 2014
FOLIOfn 2000 - 2010
National Association of Securities Dealers (NASD) 1999 - 2001
BARRA (Later part of Morgan Stanley then MSCI) July 1986 - May 1991
Pacific Gas & Electric June 1981 - June 1983
Skills
Equities, Capital Markets, Financial Markets, Financial Modeling, Securities, Fixed Income, Strategic Planning, Valuation, Management Consulting, Securities Regulation, Financial Analysis, Due Diligence, Hedge Funds, Risk Management, Mergers, Derivatives, Investments, Portfolio Management, Economics, Econometrics
Education
Harvard Business School 2013 — 2013
Executive Education, Making Corporate Boards More Effective
University of California, Berkeley, Haas School of Business 1985 — 1991
Ph.D., Finance
Harvard Business School 1983 — 1985
MBA
Caltech 1977 — 1981
B.S., Engineering and Applied Science; Economics
Sewickley Academy
Sewickley Academy
Sewickley Academy
Sewickley Academy
Georgetown University August 1991 - Present
The Wharton School August 2012 - July 2014
Direct Edge May 2010 - February 2014
FOLIOfn 2000 - 2010
National Association of Securities Dealers (NASD) 1999 - 2001
BARRA (Later part of Morgan Stanley then MSCI) July 1986 - May 1991
Pacific Gas & Electric June 1981 - June 1983
Skills
Equities, Capital Markets, Financial Markets, Financial Modeling, Securities, Fixed Income, Strategic Planning, Valuation, Management Consulting, Securities Regulation, Financial Analysis, Due Diligence, Hedge Funds, Risk Management, Mergers, Derivatives, Investments, Portfolio Management, Economics, Econometrics
Education
Harvard Business School 2013 — 2013
Executive Education, Making Corporate Boards More Effective
University of California, Berkeley, Haas School of Business 1985 — 1991
Ph.D., Finance
Harvard Business School 1983 — 1985
MBA
Caltech 1977 — 1981
B.S., Engineering and Applied Science; Economics
Sewickley Academy
Sewickley Academy
Sewickley Academy
Sewickley Academy
Kevin Holt's National Association of Securities Dealers (NASD) Experience August 1998 - July 1999
Job Senior Analyst at 11:11 Consulting
Industry Computer Software
Experience
11:11 Consulting March 2007 - Present
11:11 Consulting March 2007 - Present
11:11 Consulting March 2007 - Present
Invizion, Inc February 2012 - July 2012
Bluefish Consulting Corporation April 2006 - March 2007
Bluefish Consulting Corporation February 2005 - April 2006
Orizon Inc. January 2003 - February 2005
NASDAQ March 2002 - January 2003
National Association of Securities Dealers / EDS July 1999 - March 2002
National Association of Securities Dealers (NASD) August 1998 - July 1999
Skills
Program Management, Project Management, Business Process..., Budgets, Business Analysis, Data Analysis, Strategic Planning, Management Consulting, Business Development, PMP, SaaS, Integration, Management, PeopleSoft, CMMI, Systems Analysis, Security, Risk Management, Technical Solutions..., System Design, Business Requirements, Accounting Software, PeopleSoft Financials, PeopleSoft Human..., Technical Lead, Microsoft Access, TOAD, PL/SQL, ODBC, CPA, Crucial Conversations, Brokering Solutions, Data Conversion, System Analysis, Financial Analysis, Budget Analysis, Microsoft Access..., Oracle Stored Procedures, Facilitation, Problem Solving, Analysis, Leadership, Business Process, Enterprise Software, Managing a PMO, Pre-sales, Presentation Skills
Education
Duquesne University 1982 — 1986
BS/BA, Accounting
11:11 Consulting March 2007 - Present
11:11 Consulting March 2007 - Present
11:11 Consulting March 2007 - Present
Invizion, Inc February 2012 - July 2012
Bluefish Consulting Corporation April 2006 - March 2007
Bluefish Consulting Corporation February 2005 - April 2006
Orizon Inc. January 2003 - February 2005
NASDAQ March 2002 - January 2003
National Association of Securities Dealers / EDS July 1999 - March 2002
National Association of Securities Dealers (NASD) August 1998 - July 1999
Skills
Program Management, Project Management, Business Process..., Budgets, Business Analysis, Data Analysis, Strategic Planning, Management Consulting, Business Development, PMP, SaaS, Integration, Management, PeopleSoft, CMMI, Systems Analysis, Security, Risk Management, Technical Solutions..., System Design, Business Requirements, Accounting Software, PeopleSoft Financials, PeopleSoft Human..., Technical Lead, Microsoft Access, TOAD, PL/SQL, ODBC, CPA, Crucial Conversations, Brokering Solutions, Data Conversion, System Analysis, Financial Analysis, Budget Analysis, Microsoft Access..., Oracle Stored Procedures, Facilitation, Problem Solving, Analysis, Leadership, Business Process, Enterprise Software, Managing a PMO, Pre-sales, Presentation Skills
Education
Duquesne University 1982 — 1986
BS/BA, Accounting
Tom DiSpaldo's National Association of Securities Dealers (NASD) Experience June 1984 - May 1985
Job Director, Regulatory Manager/Supervisor at BNP Paribas Securities Corp
Industry Financial Services
Experience
BNP Paribas Securities Corp BNP Paribas Prime Brokerage, Inc. October 2013 - Present
BNP Paribas Securities Corp May 2001 - October 2013
Carr Futures, Inc. June 1998 - September 2001
BNP Securities (U.S.A), Inc. September 1995 - June 1998
Chase Futures & Options, Inc. May 1985 - June 1995
National Association of Securities Dealers (NASD) June 1984 - May 1985
Philadelphia Stock Exchange March 1980 - June 1984
Skills
Securities, Derivatives, Equities, Options, Commodities, Brokerage, Series 7, Series 63, Compliance, Capital Markets, FINRA, Regulatory Risk, Series 24, Corporate Governance, Regulatory Reporting, Operational Risk, Risk Management, Series 3, AML, Securities Regulation, Risk, Prime Brokerage, Compliance Audits, Internal Audit, Financial Markets, Investments, ETFs, Trading, Financial Risk, Commodity, Finance, Back Office, Fixed Income, Securities Lending, Financial Services, Broker-Dealer, Hedge Funds, KYC, Anti Money Laundering
Education
Penn State University 1974 — 1978
Bachelors of Science, Finance
BNP Paribas Securities Corp BNP Paribas Prime Brokerage, Inc. October 2013 - Present
BNP Paribas Securities Corp May 2001 - October 2013
Carr Futures, Inc. June 1998 - September 2001
BNP Securities (U.S.A), Inc. September 1995 - June 1998
Chase Futures & Options, Inc. May 1985 - June 1995
National Association of Securities Dealers (NASD) June 1984 - May 1985
Philadelphia Stock Exchange March 1980 - June 1984
Skills
Securities, Derivatives, Equities, Options, Commodities, Brokerage, Series 7, Series 63, Compliance, Capital Markets, FINRA, Regulatory Risk, Series 24, Corporate Governance, Regulatory Reporting, Operational Risk, Risk Management, Series 3, AML, Securities Regulation, Risk, Prime Brokerage, Compliance Audits, Internal Audit, Financial Markets, Investments, ETFs, Trading, Financial Risk, Commodity, Finance, Back Office, Fixed Income, Securities Lending, Financial Services, Broker-Dealer, Hedge Funds, KYC, Anti Money Laundering
Education
Penn State University 1974 — 1978
Bachelors of Science, Finance
AIESEC
Habitat for Humanity International
Habitat for Humanity
Financial Industry Regulatory Authority
World Wildlife Fund
Mercy Corps
Human Rights Watch
FINRA