Resumes
Resumes
Supervisory Principal
View pageLocation:
8085 Lawrence Woods Blvd, Indianapolis, IN 46236
Industry:
Financial Services
Work:
1St Global Feb 1, 2012 - Jul 1, 2014
Regulatory Principal Consultant
Lpl Financial Feb 1, 2012 - Jul 1, 2014
Supervisory Principal
Oneamerica Nov 2010 - Dec 2011
Regional Compliance Manager
Axa Advisors Feb 1, 2004 - Nov 1, 2010
Branch Compliance Manager
Massmutual Financial Group May 2001 - Nov 2003
Branch Compliance Manager
Regulatory Principal Consultant
Lpl Financial Feb 1, 2012 - Jul 1, 2014
Supervisory Principal
Oneamerica Nov 2010 - Dec 2011
Regional Compliance Manager
Axa Advisors Feb 1, 2004 - Nov 1, 2010
Branch Compliance Manager
Massmutual Financial Group May 2001 - Nov 2003
Branch Compliance Manager
Skills:
Finra
Securities
Series 24
Series 7
Mutual Funds
Risk Management
Financial Services
Series 63
Insurance
Aml
Investments
Investment Advisory
Uniform Combined State Law
Wealth Management
Fixed Annuities
Equities
Financial Advisory
Retirement
Compliance
Life Insurance
Training
Series 65
Kyc
Variable Annuities
Anti Money Laundering
Asset Management
Employee Benefits
Ofac
Asset Managment
Securities
Series 24
Series 7
Mutual Funds
Risk Management
Financial Services
Series 63
Insurance
Aml
Investments
Investment Advisory
Uniform Combined State Law
Wealth Management
Fixed Annuities
Equities
Financial Advisory
Retirement
Compliance
Life Insurance
Training
Series 65
Kyc
Variable Annuities
Anti Money Laundering
Asset Management
Employee Benefits
Ofac
Asset Managment
Certifications:
Series 7, 24, 53 and 66
Finra
Finra