Registered Securities Principal

I have a degree in Economics from Butler University. I graduated in 2011. Since that time, I have worked for a number of registered broker-dealer firms as well as SEC registered investment advisory firms. I currently hold six securities licenses. I currently work in a compliance and supervisory role with a large investment firm. My daily tasks entail ensuring that my network of advisors (approximately 300) are conducting their businesses in a way that is compliant with all regulatory, federal... Read More >>