Resumes
Resumes
Chief Compliace And Operations Officer
View pageLocation:
Salt Lake City, UT
Industry:
Financial Services
Work:
Morgan Stanley Sep 1, 2014 - Apr 2016
Vice President of Risk
Morgan Stanley Sep 1, 2014 - Apr 2016
Vice President Operations
Morgan Stanley 2012 - 2014
Director, Margin Department
Lefavi Wealth Management 2003 - 2012
Chief Compliance Officer, Operations Manager, Branch Manager
Eagle Gate Securities 2002 - 2003
Branch Manager and Compliance Officer
Vice President of Risk
Morgan Stanley Sep 1, 2014 - Apr 2016
Vice President Operations
Morgan Stanley 2012 - 2014
Director, Margin Department
Lefavi Wealth Management 2003 - 2012
Chief Compliance Officer, Operations Manager, Branch Manager
Eagle Gate Securities 2002 - 2003
Branch Manager and Compliance Officer
Education:
Uc San Diego 1986 - 1992
Bachelors, Bachelor of Arts, Economics Mater Dei High School 1982 - 1986
Bachelors, Bachelor of Arts, Economics Mater Dei High School 1982 - 1986
Skills:
Mutual Funds
Finra
Financial Analysis
Strategic Financial Planning
Financial Modeling
Financial Planning
Bonds
Financial Risk
Operations Management
Risk Management
Sales Management
Trading Systems
Banking
Management
Branch Management
Equities
Trading
Securities
Finance
Wealth Management
Compliance Management
Security Audits
Margin Analysis
Stock Market
Fixed Annuities
Investments
Compliance Audits
Sec Reporting
Quantitative Modeling
Clearing
Hr Policies
Annuities
Finra
Financial Analysis
Strategic Financial Planning
Financial Modeling
Financial Planning
Bonds
Financial Risk
Operations Management
Risk Management
Sales Management
Trading Systems
Banking
Management
Branch Management
Equities
Trading
Securities
Finance
Wealth Management
Compliance Management
Security Audits
Margin Analysis
Stock Market
Fixed Annuities
Investments
Compliance Audits
Sec Reporting
Quantitative Modeling
Clearing
Hr Policies
Annuities
Interests:
Surfing
Snowboarding
Golf
Mountain Biking
Snowboarding
Golf
Mountain Biking
Certifications:
Finra
Life & Health Insurance License
Series 7 License - General Securities Representative
Series 9 & 10 License - General Securities Sales Supervisor
Series 24 - General Securities Principal
Series 4 License - Registered Options Principal
Series 63
Series 65
Life & Health Insurance License
Series 7 License - General Securities Representative
Series 9 & 10 License - General Securities Sales Supervisor
Series 24 - General Securities Principal
Series 4 License - Registered Options Principal
Series 63
Series 65