The Beacon Group of Companies
Senior Director of Compliance
The Beacon Group of Companies
Trading and Compliance Manager
Janney Montgomery Scott Llc Jun 2006 - Sep 2007
Compliance Associate
Janney Montgomery Scott Llc Jun 2004 - May 2006
Sales Assistant
Education:
Rutgers University - Camden 2017 - 2019
Bachelors, Finance
Williamstown High School 1991 - 1995
Rutgers University
Skills:
Financial Planning Trading Regulatory Compliance Wealth Management Investment Advisory Services Retirement Planning Portfolio Management Finance Asset Allocation Finra Series 7 Series 24 401K Securities Financial Services Mutual Funds Equities Asset Management Anti Money Laundering Sec Fiduciary Due Diligence Financial Analysis Fixed Income Alternative Investments Technical Analysis Block Trading Investment Banking Financial Risk Investment Management Financial Advisory Leadership Strategic Planning
Certifications:
Registered Securities Representative Series 7 Uniform Combined State Law / Registered Investment Advisor Series 66 Registered Securities Principal Series 24 General Securities Representative Series 7 Uniform Combined State Law / Registered Investment Advisor Series 66 General Securities Principal Series 24 Series 7, 24 and 66 Securities Registrations Held Through Lpl Financial.