Securities and Exchange Commission
Industry: Federal agency
DescriptionThe U.S. Securities and Exchange Commission is an independent agency of the United States federal government. Agency executive: Jay Clayton, Chairman Founder: Franklin D. Roosevelt Founded: June 6, 1934 Headquarters: Washington, D.C. Jurisdiction: United States of America Number of employees: 4,301 (2015)
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Securities and Exchange Commission Employees
Employee
Years
Job
Industry
Sara Hanks Sara Hanks's Securities and Exchange Commission Experience 1986 - 1990
Job CEO/Founder, CrowdCheck, Inc.
Industry Internet
Experience
Congressional Oversight Panel 2009 - 2010
Clifford Chance LLP 1990 - 2009
Securities and Exchange Commission 1986 - 1990
Skills
Corporate Finance, Financial Markets, Securities Law, Corporate Governance, Crowdfunding, Securities Regulation, Securities, Start-ups, Alternative Investments, Venture Capital, IPO, Due Diligence, Mergers & Acquisitions, Hedge Funds, Entrepreneurship, Corporate Law, Private Equity, Capital Markets, Corporate Development, Funding, Equities, Finance, Emerging Markets, International Law, Joint Ventures, Investments, Licensing, Legal Advice, Restructuring, Cross-border..., Angel Investing, Investor Relations, Asset Management, Acquisitions, Investment Banking, Intellectual Property, Financial Structuring, Private Placements, Structured Finance, Project Finance, Executive Management, Valuation, M&A experience, LBO, Venture Financing, Leveraged Finance
Education
University of Oxford 1977 — 1980
M.A. (Oxon), Jurisprudence
Congressional Oversight Panel 2009 - 2010
Clifford Chance LLP 1990 - 2009
Securities and Exchange Commission 1986 - 1990
Skills
Corporate Finance, Financial Markets, Securities Law, Corporate Governance, Crowdfunding, Securities Regulation, Securities, Start-ups, Alternative Investments, Venture Capital, IPO, Due Diligence, Mergers & Acquisitions, Hedge Funds, Entrepreneurship, Corporate Law, Private Equity, Capital Markets, Corporate Development, Funding, Equities, Finance, Emerging Markets, International Law, Joint Ventures, Investments, Licensing, Legal Advice, Restructuring, Cross-border..., Angel Investing, Investor Relations, Asset Management, Acquisitions, Investment Banking, Intellectual Property, Financial Structuring, Private Placements, Structured Finance, Project Finance, Executive Management, Valuation, M&A experience, LBO, Venture Financing, Leveraged Finance
Education
University of Oxford 1977 — 1980
M.A. (Oxon), Jurisprudence
Don Rett Don Rett's Securities and Exchange Commission Experience 1972 - 1975
Job Owner, Securities Law Office Don Rett
Industry Law Practice
Experience
Law Office - Don Rett 1978 - Present
Florida Division of Securities April 1975 - January 1978
Florida Division of Securities 1975 - 1977
Securities and Exchange Commission 1972 - 1975
Skills
Securities Regulation, Securities Litigation, Expert Witness, Private Placements, Securities, Financial Regulation, Litigation, SEC, Fraud, FINRA, Broker-Dealer, Courts, Arbitration, Corporate Law, Dispute Resolution, Administrative Law, Bankruptcy, Commercial Litigation, Alternative Dispute..., Mediation, Joint Ventures, Civil Litigation, Licensing, Litigation Support, Appeals
Education
University of Miami School of Law 1970 — 1973
JD, Securities Law
University of Miami - School of Business 1955 — 1973
BBA, Accounting, Finance
Law Office - Don Rett 1978 - Present
Florida Division of Securities April 1975 - January 1978
Florida Division of Securities 1975 - 1977
Securities and Exchange Commission 1972 - 1975
Skills
Securities Regulation, Securities Litigation, Expert Witness, Private Placements, Securities, Financial Regulation, Litigation, SEC, Fraud, FINRA, Broker-Dealer, Courts, Arbitration, Corporate Law, Dispute Resolution, Administrative Law, Bankruptcy, Commercial Litigation, Alternative Dispute..., Mediation, Joint Ventures, Civil Litigation, Licensing, Litigation Support, Appeals
Education
University of Miami School of Law 1970 — 1973
JD, Securities Law
University of Miami - School of Business 1955 — 1973
BBA, Accounting, Finance
Colleen Bell Colleen Bell's Securities and Exchange Commission Experience 2002 - 2005
Job 1st VP, Retirement and Wealth Strategies at Cambridge Investment Research, Inc.
Industry Financial Services
Experience
Cambridge Investment Research, Inc. November 2014 - Present
Cambridge Investment Research August 2014 - Present
Cambridge Investment Research December 2011 - Present
Cambridge Investment Research March 2006 - November 2011
Cambridge Investment Research Advisors, Inc. November 2010 - January 2011
Aspen Partners, Ltd. 2005 - 2006
Securities and Exchange Commission 2002 - 2005
Skills
FINRA, Investment Advisory, Series 7, 401k, Retirement, Series 66, Series 24, Securities
Education
University of Illinois at Urbana-Champaign - College of Business
Bachelor of Science (B.S.), Management Information Systems, General
Cambridge Investment Research, Inc. November 2014 - Present
Cambridge Investment Research August 2014 - Present
Cambridge Investment Research December 2011 - Present
Cambridge Investment Research March 2006 - November 2011
Cambridge Investment Research Advisors, Inc. November 2010 - January 2011
Aspen Partners, Ltd. 2005 - 2006
Securities and Exchange Commission 2002 - 2005
Skills
FINRA, Investment Advisory, Series 7, 401k, Retirement, Series 66, Series 24, Securities
Education
University of Illinois at Urbana-Champaign - College of Business
Bachelor of Science (B.S.), Management Information Systems, General
Chris Galis's Securities and Exchange Commission Experience May 2015 - August 2015
Job Student at University of Notre Dame
Industry
Experience
Securities and Exchange Commission May 2015 - August 2015
Livongo Health May 2014 - August 2014
Education
University of Notre Dame 2013 — 2017
Finance, General, Sophomore
Benet Academy 2009 — 2013
Securities and Exchange Commission May 2015 - August 2015
Livongo Health May 2014 - August 2014
Education
University of Notre Dame 2013 — 2017
Finance, General, Sophomore
Benet Academy 2009 — 2013
Scott Taub's Securities and Exchange Commission Experience November 2006 - August 2007
Job
Industry Accounting
Experience
Financial Reporting Advisors, LLC January 2007 - Present
Securities and Exchange Commission November 2006 - August 2007
U.S. Securities and Exchange Commission 2002 - 2007
Arthur Andersen July 1990 - July 2002
Skills
SEC filings, SEC, US GAAP, Financial Reporting, Accounting, Sarbanes-Oxley Act, Auditing, Internal Controls, GAAP, IFRS, Revenue Recognition, Forensic Accounting, CPA, FASB, Corporate Governance, Financial Analysis, Due Diligence, SEC Filings, Consolidation, Financial Accounting, Assurance, Mergers & Acquisitions, Sarbanes-Oxley, External Audit, Internal Audit, Finance, IPO, Big 4
Education
University of Michigan 1986 — 1990
B.A., Economics
Financial Reporting Advisors, LLC January 2007 - Present
Securities and Exchange Commission November 2006 - August 2007
U.S. Securities and Exchange Commission 2002 - 2007
Arthur Andersen July 1990 - July 2002
Skills
SEC filings, SEC, US GAAP, Financial Reporting, Accounting, Sarbanes-Oxley Act, Auditing, Internal Controls, GAAP, IFRS, Revenue Recognition, Forensic Accounting, CPA, FASB, Corporate Governance, Financial Analysis, Due Diligence, SEC Filings, Consolidation, Financial Accounting, Assurance, Mergers & Acquisitions, Sarbanes-Oxley, External Audit, Internal Audit, Finance, IPO, Big 4
Education
University of Michigan 1986 — 1990
B.A., Economics
Joshua Englard's Securities and Exchange Commission Experience September 2000 - February 2005
Job Partner at Ellenoff Grossman & Schole LLP
Industry Law Practice
Experience
Ellenoff Grossman & Schole LLP May 2008 - Present
Paul Hastings Janofsky & Walker LLP March 2005 - May 2008
Securities and Exchange Commission September 2000 - February 2005
Skills
Corporate Law, Corporate Governance, IPO, Securities Offerings, Securities Law, Securities, Public Companies, Private Placements, Capital Markets, Securities Regulation, SEC filings, Acquisitions, Mergers & Acquisitions, Start-ups, SEC, Equities, Joint Ventures, Due Diligence, Venture Capital
Education
University of Pennsylvania Law School 1997 — 2000
JD
Yeshiva University 1991 — 1996
BS, Accounting
Ellenoff Grossman & Schole LLP May 2008 - Present
Paul Hastings Janofsky & Walker LLP March 2005 - May 2008
Securities and Exchange Commission September 2000 - February 2005
Skills
Corporate Law, Corporate Governance, IPO, Securities Offerings, Securities Law, Securities, Public Companies, Private Placements, Capital Markets, Securities Regulation, SEC filings, Acquisitions, Mergers & Acquisitions, Start-ups, SEC, Equities, Joint Ventures, Due Diligence, Venture Capital
Education
University of Pennsylvania Law School 1997 — 2000
JD
Yeshiva University 1991 — 1996
BS, Accounting
Heather Hawley's Securities and Exchange Commission Experience 2003 - 2006
Job Business and Technical Strategic Advisor
Industry Information Technology and Services
Experience
MITRE October 2006 - Present
Securities and Exchange Commission 2003 - 2006
AceComm 2000 - 2003
Skills
Program Management, Enterprise Architecture, Vulnerability Assessment, Requirements Analysis, Software Development, FISMA, IT Strategy, System Architecture, CISSP, Integration, CMMI, Systems Engineering, Management, Information Assurance, DoD, Telecommunications, Requirements Management, Software Engineering, PMP, Security
Education
University of Maryland College Park 1988 — 1990
Bachelor of Science (B.S.), Computer Science
University of Maryland College Park 1984 — 1988
Bachelor of Arts (B.A.), Psychology
MITRE October 2006 - Present
Securities and Exchange Commission 2003 - 2006
AceComm 2000 - 2003
Skills
Program Management, Enterprise Architecture, Vulnerability Assessment, Requirements Analysis, Software Development, FISMA, IT Strategy, System Architecture, CISSP, Integration, CMMI, Systems Engineering, Management, Information Assurance, DoD, Telecommunications, Requirements Management, Software Engineering, PMP, Security
Education
University of Maryland College Park 1988 — 1990
Bachelor of Science (B.S.), Computer Science
University of Maryland College Park 1984 — 1988
Bachelor of Arts (B.A.), Psychology
Christopher Caprio's Securities and Exchange Commission Experience June 2004 - Present
Job Staff Accountant at U.S. Securities and Exchange Commission
Industry Financial Services
Experience
Securities and Exchange Commission June 2004 - Present
Skills
CPA
Education
University of Illinois at Urbana-Champaign 2002 — 2003
Master of Science, Accountancy with a specialization in Taxation
University of Illinois at Urbana-Champaign 1999 — 2002
Bachelor of Science, Accountancy
Securities and Exchange Commission June 2004 - Present
Skills
CPA
Education
University of Illinois at Urbana-Champaign 2002 — 2003
Master of Science, Accountancy with a specialization in Taxation
University of Illinois at Urbana-Champaign 1999 — 2002
Bachelor of Science, Accountancy
Pat Woodbury's Securities and Exchange Commission Experience 1990 - 1998
Job Managing Director, FTI Consulting
Industry Accounting
Experience
Olney Theatre January 2010 - Present
FTI Consulting April 2001 - Present
PCAOB April 2005 - July 2006
USEC 1998 - 2000
Securities and Exchange Commission 1990 - 1998
Skills
Accounting, Financial Reporting, Litigation Support, Forensic Accounting, Auditing, SEC filings, Financial Analysis, Corporate Finance, Revenue Recognition, CPA, Business Valuation, SEC, US GAAP, Sarbanes-Oxley Act, Due Diligence, Finance, SEC Filings
Education
University of Michigan-Dearborn 1979 — 1983
Olney Theatre January 2010 - Present
FTI Consulting April 2001 - Present
PCAOB April 2005 - July 2006
USEC 1998 - 2000
Securities and Exchange Commission 1990 - 1998
Skills
Accounting, Financial Reporting, Litigation Support, Forensic Accounting, Auditing, SEC filings, Financial Analysis, Corporate Finance, Revenue Recognition, CPA, Business Valuation, SEC, US GAAP, Sarbanes-Oxley Act, Due Diligence, Finance, SEC Filings
Education
University of Michigan-Dearborn 1979 — 1983
Mary Revell's Securities and Exchange Commission Experience 1992 - 1993
Job Member of the Board at Adkins Arboretum
Industry Financial Services
Experience
Adkins Arboretum 2014 - Present
ASECA November 2012 - October 2013
MR Consulting, LLC January 2010 - October 2013
The NASDAQ Stock Market LLC October 2000 - December 2009
The NASDAQ Stock Market December 1999 - October 2000
FINRA February 1996 - December 1999
NASD 1996 - 1999
Commodity Futures Trading Commission 1994 - 1996
Debevoise & Plimpton 1993 - 1994
Securities and Exchange Commission 1992 - 1993
Skills
Securities, FINRA, Securities Market, Capital Markets, Equities, Securities Regulation, Options, Financial Markets, Mutual Funds, Due Diligence, Investment Advisory, Broker-Dealer, Equity Trading, Series 7, Hedge Funds, Series 24, ETFs
Education
University of Pittsburgh School of Law 1975 — 1978
Doctor of Law (JD)
University of Vermont 1973 — 1975
BA, English Language and Literature, General
Adkins Arboretum 2014 - Present
ASECA November 2012 - October 2013
MR Consulting, LLC January 2010 - October 2013
The NASDAQ Stock Market LLC October 2000 - December 2009
The NASDAQ Stock Market December 1999 - October 2000
FINRA February 1996 - December 1999
NASD 1996 - 1999
Commodity Futures Trading Commission 1994 - 1996
Debevoise & Plimpton 1993 - 1994
Securities and Exchange Commission 1992 - 1993
Skills
Securities, FINRA, Securities Market, Capital Markets, Equities, Securities Regulation, Options, Financial Markets, Mutual Funds, Due Diligence, Investment Advisory, Broker-Dealer, Equity Trading, Series 7, Hedge Funds, Series 24, ETFs
Education
University of Pittsburgh School of Law 1975 — 1978
Doctor of Law (JD)
University of Vermont 1973 — 1975
BA, English Language and Literature, General
Department of Veterans Affairs
US Census Bureau
U.S. Department of Veterans Affairs
FDA
US Securities and Exchange Commission
USAID
US Fish and Wildlife Service
TSA