Charles Schwab Oct 1, 2013 - Apr 2015
Managing Director, Advisor Services Risk and Controls
Advisor Group Jul 2011 - Aug 2013
Vice President, Compliance Programs, Projects and Monitoring and Testing
Advisor Group Aug 2009 - Jul 2011
Vice President, Compliance, Branch Office Examinations
Advisor Group Aug 2008 - Aug 2009
Assistant Vice President, Supervision Administration
Advisor Group Oct 2006 - Aug 2008
Director, Compliance, Sales Practice Group
Education:
Arizona State University 1997 - 1999
Bachelors, Bachelor of Science, Business Marketing
North High School Phoenix, Az
Skills:
Finra Risk Management Financial Services Mutual Funds Series 63 Series 7 Asset Management Wealth Management Series 24 Securities Aml Due Diligence Investment Advisory Financial Advisory Internal Audit Project Management Process Improvement Policy Analysis Compliance Management Staff Development Staff Management Training and Development Financial Risk