National Futures Association
The National Futures Association is the self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency and OTC derivatives. NFA is headquartered in Chicago and maintains an office in New York City. Founded: 1982 Jurisdiction: United States of America Headquarters: Chicago, Illinois, United States
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National Futures Association Employees
National Futures Association January 2015 - Present
RJ O'Brien & Associates LLC June 2014 - August 2014
United Way of Central Missouri November 2013 - May 2014
Skills
Project Planning, Social Media, Team Building, Data Analysis, Accounting, AP Style, Nonprofits, Finance, Analysis, Process Improvement, Financial Analysis, Financial Accounting, Critical Thinking, Strategy, Recruiting, Communication, Marketing
Education
University of Missouri-Columbia 2011 — 2014
Bachelor of Business Administration (BBA), Finance and Banking, Alumni
Options Clearing Corp September 2015 - Present
National Futures Association January 2014 - September 2014
National Futures Association November 2010 - December 2013
National Futures Association June 2008 - November 2010
Skills
Series 3 Licence, Certified Fraud Examiner, AML, Fraud
Education
University of Iowa 2004 — 2008
Bachelor of Business Administration (BBA), Finance, General
Mercer - Investments March 2015 - Present
ACA Compliance Group September 2012 - March 2015
National Futures Association June 2009 - September 2012
Skills
CFTC Regulations, NFA Rules, Investment Fraud..., Financial Analysis, Regulatory Reporting, Regulatory Requirements, Due Diligence
Education
University of Illinois at Urbana-Champaign 2005 — 2009
Saint Viator High School 2001 — 2005
Straits Financial LLC March 2014 - Present
Straits Financial LLC January 2011 - Present
National Futures Association July 2009 - January 2011
National Futures Association May 2008 - July 2009
National Futures Association June 2007 - May 2008
Procter & Gamble January 2007 - May 2007
Federal Signal Corporation May 2006 - December 2006
Skills
Risk Management, Accounting, Options, Equities, Derivatives, Commodity, Financial Analysis
Education
University of Iowa - Henry B. Tippie College of Business
BBA, Finance
Bank of America Merrill Lynch March 2015 - Present
National Futures Association April 2012 - March 2015
Orthonet May 2011 - April 2012
Wells Fargo Bank October 2009 - May 2011
Citi May 2008 - August 2008
Education
University of Scranton 2005 — 2009
Bachelors of Science, Finance, 3.1
National Futures Association February 2015 - Present
Morgan Stanley February 2014 - January 2015
Sea Fresh Marine LLC June 2013 - February 2014
Richmond Boro Building Corp June 2010 - June 2013
Eastern Petroleum Futures May 2008 - January 2013
Skills
Financial Analysis, Stock Trading, Futures Trading, Commodity Markets, Communication Skills, Research, Microsoft Excel, Microsoft Word, Outlook, PowerPoint, Sales, Customer Service, Inventory Management, Leadership, Volunteering, Team-oriented, Problem Solving, Entrepreneurship, Import Export
Education
Monmouth University 2010 — 2012
Bachelor of Business Administration (BBA), Finance
University of Rhode Island 2007 — 2010
Studied Political Science, Communication, Math, History, English and Sciences
Christian Brothers Academy 2003 — 2007
BrookWeiner LLC January 2013 - Present
Shenfeld & Company, Ltd. September 2003 - December 2012
Corbett, Duncan & Hubly, P.C. September 2001 - September 2003
National Futures Association June 1999 - September 2001
Skills
Accounting, Tax, QuickBooks, Finance, CPA, Bookkeeping, Auditing, General Ledger, Tax Preparation, Financial Statements, Small Business, Payroll, Financial Analysis, Income Tax, Start-ups, Corporate Tax, Financial Accounting, GAAP, Financial Reporting, Cash Flow, Accounts Payable, Budgets, Cost Accounting, Cash Flow Forecasting, Accounts Receivable, Account Reconciliation, Corporate Finance, Financial Modeling, Forecasting, Fixed Assets, IRS, Accruals, Budgeting, Reconciliation
Education
University of Wisconsin-Madison - School of Business 1997 — 1999
Bachelor's Degree, Accounting
University of South Alabama 1994 — 1997
Accounting
National Futures Association November 2013 - Present
ATG September 2012 - October 2013
Keystone Trading Corp. April 2010 - September 2012
Luftrade LLC February 2008 - February 2010
Luftrade LLC January 2006 - January 2008
National City Bank January 2004 - February 2005
Skills
Options, Commodity, Risk Management, Trading, Electronic Trading, Microsoft Excel, Strategic Planning, Business Analysis, Management, Financial Analysis, Financial Risk, Derivatives, Market Making, FX Options, Commodity Options, Hedging, Arbitrage, Volatility, SQL, Foreign Currency, Risk Analysis, Market Risk, Dodd-Frank, Market Regulation, series 3, Certified Fraud Examiner
Education
University of Michigan 1999 — 2003
Bachelor of Arts (B.A.), Philosophy
University School 1995 — 1999
Traverse City Human Rights Commission 2015 - Present
The ADR Quarterly September 2013 - Present
Alternative Dispute Resolution Section Council, State Bar of Michigan 2013 - Present
Alternative Dispute Resolution Committee, Grand Traverse-Leelanau-Antrim Bar Association 2012 - Present
Representative Assembly, State Bar of Michigan June 2010 - Present
Michigan Employment Relations Commission 2009 - Present
Grand Traverse County Board of Canvassers 2007 - Present
National Futures Association 2004 - Present
Arbitration and Mediation Office of Lee Hornberger 2003 - Present
Financial Industry Regulatory Authority Dispute Resolution 2003 - Present
Skills
Arbitration, Mediation, Hearing Officer, Employment Law, Sailing, Alternative Dispute..., Labor Law, Election Law, Legal Writing, Public Speaking, Employment Litigation, Securities Arbitration, Hearings, Litigation
Education
Wayne State University Law School 1977 — 1982
LL.M. in Labor Law
University of Michigan Law School 1966 — 1968
J.D., cum laude
University of Michigan 1963 — 1966
B.A., Political Science
Airport Community High School 1960 — 1963
Diploma
National Futures Association September 2013 - Present
Titan Regulation October 2012 - September 2013
Cupps Capital Management November 2010 - October 2012
Omnium April 2007 - October 2010
Citadel Investment Group April 2006 - April 2007
Discovery Chicago May 2005 - April 2006
Discovery Chicago July 2004 - May 2005
Discovery Chicago November 2003 - July 2004
Skills
Hold Series 3
Education
University of Iowa 1999 — 2003
Bachelor, Finance
Iowa Memorial
AEGON Asset Management March 2014 - Present
AEGON Asset Management April 2012 - March 2014
AEGON Asset Management April 2007 - April 2012
AEGON Asset Management December 2001 - April 2007
Denver Investment Advisors 2000 - 2001
National Futures Association 1998 - 2000
National Futures Association 1995 - 1998
Skills
Financial Modeling, Financial Risk, Financial Analysis, Financial Reporting, Risk Management, Auditing, Mutual Funds, Asset Management, Insurance
Education
University of Iowa 1991 — 1995
Bachelor of Business Administration (BBA), Finance
National Futures Association January 2014 - Present
Mercer Investment Consulting January 2012 - December 2013
University of Illinois at Urbana-Champaign August 2007 - December 2011
LaSalle St. Securities June 2011 - August 2011
Village of Frankfort June 2007 - August 2010
Skills
Microsoft Excel, Microsoft Office, PowerPoint, Finance, Financial Analysis, Microsoft Word, Data Analysis, Public Speaking, Social Media, Analysis, Futures Trading, Trade Compliance
Education
University of Illinois at Urbana-Champaign 2007 — 2011
Economics, Business Economics
Kasey K Gilliam LLC January 2015 - Present
CDH August 2001 - November 2006
National Futures Association July 2000 - August 2001
National Futures Association January 1998 - June 2000
National Futures Association June 1995 - December 1997
Skills
CPA examination,..., Series 3 examination,..., QuickBooks Online...
Education
University of Iowa 1990 — 1994
Bachelor's Degree, Accounting
Mizuho Capital Markets Corp. April 2014 - Present
National Futures Association August 2012 - April 2014
National Futures Association January 2011 - August 2012
Capital Market Services March 2010 - November 2010
Firefly Value Partners September 2009 - March 2010
Skills
Compliance, Hedge Funds, Financial Risk, AML, Auditing, KYC, Securities, Legal Writing, Foreign Exchange, FINRA, Capital Markets, Derivatives, Financial Markets, Equities, Financial Regulation, Dodd-Frank, Anti Money Laundering, Commodity, Financial Analysis, FX Options, Securities Regulation, Internal Audit, Finance, Operational Risk...
Education
University of Pittsburgh School of Law 2006 — 2009
JD, Health Law Certificate
Franklin & Marshall College 2002 — 2005
BA, Psychology and Anthropology
Lancaster Country Day School 1988 — 2001
Johnson Bank April 2013 - Present
BMO Harris Bank March 2001 - March 2013
U.S. Bank July 1998 - March 2001
Household International February 1996 - June 1997
National Futures Association July 1993 - February 1996
Skills
Investment Banking, Valuation, Financial Structuring, Investments, Private Equity, Structured Finance, LBO, Restructuring, Loans, Banking, Commercial Banking, Financial Services
Education
University of Minnesota - Carlson School of Management 1997 — 1998
Master of Business Administration (MBA), Finance
University of Iowa - Henry B. Tippie College of Business 1988 — 1992
Bachelor of Business Administration (BBA), Finance
Homestead High School 1984 — 1988
Ernst & Young November 2012 - Present
National Futures Association January 2008 - November 2012
National Futures Association October 2007 - December 2007
National Futures Association June 2004 - September 2007
Walt Disney College Recruiting August 2003 - May 2004
Fey & Company Jewelers June 1997 - January 2004
Skills
Auditing, Risk Assessment, AML, Financial Analysis, Derivatives, Financial Reporting, Fraud, Behavioral Interviewing, Financial Risk, Due Diligence
Education
University of Illinois at Urbana-Champaign 2000 — 2004
BA, Finance
Western Reserve Partners LLC June 2011 - Present
Harris Williams & Co. March 2009 - June 2011
National City Capital Markets January 2005 - March 2009
National Futures Association 1997 - 2002
Skills
Investment Banking, Mergers & Acquisitions, Corporate Finance, LBO, Divestitures, Due Diligence, Business Valuation, Financial Modeling, Financial Analysis, Corporate Development, Leveraged Finance, Investments, Valuation, Private Equity, Restructuring, M&A experience, Capital Markets
Education
University of Michigan 2002 — 2004
MBA
University of Wisconsin-Madison 1993 — 1997
BBA, Finance & Accounting
NORC at the University of Chicago July 2015 - Present
R&M Consulting October 2012 - August 2015
VanderCook College of Music November 2009 - October 2012
Underwriters Laboratories January 2007 - November 2009
National Futures Association June 2005 - December 2006
Skills
Accounting, Auditing, Financial Analysis, Financial Reporting, QuickBooks, Internal Audit, GAAP, Accounts Receivable, Internal Controls, Financial Accounting, General Ledger, Microsoft Excel, Accounts Payable, Account Reconciliation, Hyperion Enterprise, US GAAP, Microsoft Word, Oracle Applications, Great Plains Software, Audit Reports, Human Resources, Analysis, Finance, Financial Statements, Financial Audits, Sarbanes-Oxley, Risk Assessment, Business Process..., Journal Entries, Cash Flow, External Audit, Sarbanes-Oxley Act
Education
University of Illinois at Urbana-Champaign - College of Business 2000 — 2004
BS, Accountancy
National Futures Association 1995 - 2001
Education
University of Iowa - Henry B. Tippie College of Business 1990 — 1994
Wells Fargo Advisors May 2010 - Present
Wells Fargo Advisors, LLC September 2008 - November 2010
Edward Jones March 2008 - September 2008
Stifel Nicolaus April 2005 - March 2008
National Futures Association 1999 - 2005
Education
University of Illinois at Urbana-Champaign - College of Business 1995 — 1999
Bachelor of Science, Finance
Canadian Securities Administrators (CSA) - Autorités canadiennes en valeurs mobilières (ACVM) November 2008 - Present
Autorité des marchés financiers October 2004 - Present
D West & Associates, Inc. June 2004 - Present
CME Group June 2005 - February 2012
National Futures Association November 2000 - May 2004
National Futures Association October 1995 - November 2000
General Accident 1993 - 1995
Skills
Surveillance, Enforcement, Industry Liaison, Derivatives, Securities, Management, Project Management, Negotiation, Strategic Planning, Government Liason, Financial Markets, Capital Markets, Fixed Income, Legislation, Risk Management
Education
University of Ottawa / Université d'Ottawa 1984 — 1989
BA, Lettres françaises
LGI Homes October 2014 - Present
Hewlett-Packard June 2009 - October 2014
Ernst & Young November 2006 - February 2009
Dixon Hughes PLLC November 2004 - November 2006
The Bank of New York March 2003 - September 2004
National Futures Association 1999 - 2002
Skills
SOX, Audit, Internal Audit, Internal Controls, Financial Analysis, Compliance, Auditing, SEC reporting, Financial Reporting, GAAP, Risk Assessment, Risk Management, Fraud, Compliance Audits, Data Analysis, AML, SAS70, Banking, Fraud Investigations, Sarbanes-Oxley Act, SEC filings
Education
University of Notre Dame 1995 — 1999
Bachelor of Business Administration
SIRVA Worldwide June 2014 - Present
SIRVA Inc. 2008 - June 2014
SIRVA Inc. 2007 - 2008
SIRVA Inc. 2005 - 2007
SIRVA Inc. 2004 - 2005
SIRVA Inc. 2003 - 2004
SIRVA Inc. 2002 - 2003
Arthur Andersen LLP 1998 - 2002
National Futures Association 1996 - 1998
Skills
Management, P&L Management, Global Delivery, Business Process..., Forecasting, Logistics, Financial Analysis, Leadership, Analysis, Process Improvement, Team Management, Business Process, Vendor Management, New Business Development, Contract Negotiation, Operations Management, Recruiting, Internal Audit, Transportation, Change Management, Team Leadership, Global Operations, Project Management, Leadership Development, Sarbanes-Oxley Act, Accounting
Education
University of Iowa - Henry B. Tippie College of Business 1992 — 1996
BBA, Accounting
Level One Capital Management LLC September 2013 - Present
Alpha Z Advisors LLC July 2013 - Present
McBreen & Kopko Law Firm September 1999 - Present
National Futures Association October 1982 - November 1983
CFTC, Washington DC September 1980 - November 1983
Skills
Hedge Funds, Securities, Investments, Commercial Litigation, Venture Capital, Alternative Investments, Derivatives, Securities Law, Due Diligence, Private Equity, Asset Managment, Options, Licensing, Project Finance, Corporate Governance, M&A experience, Investor Relations, Corporate Finance, Restructuring, Securities Regulation, Commodity, Mergers, Joint Ventures, IPO, Start-ups, Emerging Markets, Intellectual Property, Asset Management, Financial Structuring, Entrepreneurship, Corporate Law, Equities, Capital Markets, Financial Markets, Investment Banking, Investment Management, FINRA, Mergers & Acquisitions, Competition Law, Corporate Development, Acquisitions, Funding, International Law, Trading, Litigation Management, Financial Services, Fund Of Funds, Business Transactions, Arbitration
Education
University of Illinois at Urbana-Champaign - College of Business
B.S., Economics
University of Wisconsin Law School
JD, law
John Deere Financial September 2008 - February 2011
Northern Trust May 2005 - September 2008
The National Futures Association 1998 - 2005
national futures association 1998 - 2005
Education
University of Iowa - Henry B. Tippie College of Business 1994 — 1998
BBA, Accounting
Heitman LLC September 2000 - Present
ARC of Illinois July 2005 - June 2013
Commmunity Support Services 1996 - 2006
Montgomery Ward - General Electric August 1998 - August 2000
National Futures Association January 1985 - July 1998
Skills
Financial Analysis, Auditing, Enterprise Risk..., Cash Management, Policy, Private Equity, Due Diligence, Internal Audit, Financial Reporting, Forecasting, Consolidation
Education
University of Iowa 1981 — 1984
B.B.A., Accounting & Finance
Pro Bono Institute April 2013 - Present
Rice Consulting January 2012 - March 2013
Rice Consulting 2008 - 2011
Futures Industry Association 2007 - 2008
Managed Funds Association 1997 - 2007
Rice Consulting Group 1995 - 1997
London International Financial Futures & Options Exchange 1994 - 1995
National Futures Association 1986 - 1994
Education
University of Michigan
BA, English
Keller Williams Realty West Cobb April 2008 - Present
Keller Williams Realty Atlanta Perimeter February 2008 - December 2009
Arthur Andersen June 1996 - August 1998
Arthur Andersen June 1991 - June 1996
National Futures Association June 1990 - June 1991
Skills
Real Estate, Sellers, Residential Homes, Relocation, Leadership, Management, Buyers, Commercial Real Estate, Training, Sales, Budgets, Due Diligence, Lead Generation, Finance, Financial Analysis, Coaching, Management Consulting, Short Sales, First Time Home Buyers, Buyer Representation, SFR, Single Family Homes, Real Estate Transactions, Foreclosures, Consulting, New Homes, REO, Databases, FHA, Move Up Buyers, ABR, HUD, Referrals, Listings, New Home Sales
Education
University of Iowa 1986 — 1990
BBA, Marketing & Finance
University of Iowa
Societe Generale Corporate and Investment Banking - SGCIB April 2014 - Present
National Futures Association January 2011 - November 2014
Skills
Microsoft Word, PowerPoint, Customer Service, MS Excel Pivot Tables, Microsoft Excel, Microsoft Office, Data Analysis, Financial Analysis, Financial Reporting, Financial Accounting, Financial Modeling, Economics, Chartered Financial...
Education
University of Scranton 2005 — 2009
B.S., Finance
Indian Hills High School 2001 — 2005
High School
Wells Fargo Securities July 2014 - Present
Morgan Stanley April 2014 - July 2014
National Futures Association January 2014 - March 2014
Bank of America Merrill Lynch June 2008 - January 2014
Skills
Financial Analysis, Equities, Securities, Asset Management, Portfolio Management, Risk Management, Financial Modeling, Derivatives, Investments, Hedge Funds, Banking, Microsoft Excel, Finance, Investment Banking, Options
Education
University of Scranton 2004 — 2008
Science, Accounting
St Joseph HS 2000 — 2004
High School
Federal Home Loan Bank of Des Moines June 2012 - Present
Federal Home Loan Bank of Des Moines January 2011 - June 2012
Federal Home Loan Bank of Des Moines January 2009 - January 2011
Man Investments August 2003 - September 2008
National Futures Association June 2001 - August 2003
Skills
Fixed Income, Bloomberg, Derivatives, Capital Markets, Investments, Portfolio Management, Valuation, Hedge Funds, Bonds, Options, Credit Analysis, Structured Products, Hedging
Education
University of Wisconsin-Madison - School of Business 1997 — 2001
BBA, Finance
University of Iowa - Henry B. Tippie College of Business
Master of Business Administration (MBA)
Ace Hardware February 2012 - February 2013
Ace Hardware April 2011 - February 2012
Kraft Foods December 2005 - June 2007
Kraft Foods June 2004 - December 2005
Kraft Foods October 2002 - June 2004
Kraft Foods May 2000 - October 2002
Ernst & Young February 1998 - May 2000
National Futures Association July 1996 - February 1998
Education
University of Illinois at Urbana-Champaign - College of Business 1992 — 1996
B.S.
National Futures Association June 2011 - Present
Alliant Credit Union May 2010 - August 2010
Skills
Excel, Accounting, Customer Service
Education
University of Illinois at Urbana-Champaign 2010 — 2011
Masters, Accounting Science
University of Illinois at Urbana-Champaign - College of Business 2006 — 2010
Bachelor of Science, Accountancy
Group One Trading, L.P. January 2001 - Present
Alschuler, Melvoin and Glasser/AXP (now RSM McGladrey) 1997 - 2001
National Futures Association 1996 - 1997
Skills
Auditing, Accounting, Derivatives, Finance, Internal Audit, Account Reconciliation, Securities, Equities, Financial Analysis
Education
University of Iowa 1992 — 1996
BA, Accounting
Lincoln High School 1988 — 1992
CME Group 2002 - Present
National Futures Association 1983 - 2002
national futures association 1983 - 2002
Education
University of Illinois at Urbana-Champaign - College of Business 1977 — 1981
Bachelor of Science (BS), Accounting
National Futures Association June 2015 - Present
National Futures Association 2014 - Present
UIC College of Urban Planning and Public Affairs December 2013 - May 2014
Nestlé Purina North America June 2012 - June 2013
University of Illinois at Urbana-Champaign May 2011 - May 2012
University of Illinois Housing Services August 2009 - May 2012
John G. Shedd Aquarium May 2011 - August 2011
The University of Illinois Career Center August 2009 - May 2010
Skills
Research, Microsoft Office, Auditing, Accounting, Budgets, Staff Development
Education
University of Illinois 2013 — 2014
Masters in Accounting
University of Illinois at Urbana-Champaign - College of Business 2008 — 2012
BS, Accounting
Northside College Preparatory High School 2004 — 2008
NSLIY
Wells Fargo Securities April 2012 - Present
Ironbeam 2006 - March 2012
National Futures Association 2003 - 2006
Education
University of Iowa
BS, Finance
Mesirow Financial May 2013 - Present
Newedge January 2010 - April 2013
Newedge October 2006 - January 2010
Newedge (formerly Fimat USA, LLC) October 2004 - October 2006
Newedge (formerly Fimat USA, LLC) August 2002 - October 2004
Newedge (formerly Fimat USA, LLC) November 2000 - August 2002
National Futures Association June 1997 - November 2000
Skills
Financial Accounting, Financial Reporting, Accounting, Derivatives, Accruals, Internal Controls, Financial Statements, Financial Analysis, Account Reconciliation, Cash Management, US GAAP, CPA, Financial Modeling, SEC filings, Internal Audit
Education
University of Iowa - Henry B. Tippie College of Business 1993 — 1997
Bachelors of Business Administration, Accounting