Expertise
FINRA, SEC sales practice, broker-dealers and investment advisers
(For search purposes, not intended to be a comprehensive list)
Expertise
FINRA, SEC sales practice, broker-dealers and investment advisers
(For search purposes, not intended to be a comprehensive list)
Former FINRA Executive Vice President for Regulatory Policy and Legal Compliance Officer. Expertise in FINRA and SEC rules, Reg BI, Form CRS, 1940 Acts.
Curriculum Vitae
SER Associate Member