Certifications
Series 10
Series 11
Series 12
Series 14
Series 14A
Series 24
Series 4
Series 53
Series 63
Series 7
Sector Experience
Business Services
Financial Services
Retail
Social & Public Sector
Transportation & Logistics
Experience
Self
Other
Executive Consultant
6/2018 - Present
Consultant through Private Investigation & Protection Firm on Financial Industry issues including but not limited to Broker-Dealer, Investment Advisor, Anti-Money Laundering, Registration etc...
Trident Capital
Other
Chief Compliance Officer
12/2017 - 6/2018
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
• Spartan Capital
Other
Senior Vice President & Chief Compliance Officer
6/2016 - 12/2017
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Salomon Whitney
Other
Senior Vice President & Chief Compliance Officer
12/2015 - 5/2016
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Aegis
Other
Chief Compliance Officer
10/2014 - 6/2015
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Trade-PMR
Other
Senior Vice President & Chief Compliance Officer
7/2012 - 10/2014
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Muriel Siebert
Other
Senior Vice President & Chief Compliance Officer
10/2006 - 7/2012
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Domestic Securities
Other
Executive Vice President & Chief Compliance Officer
1/2005 - 10/2006
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Bank Broker-Dealer and SEC Registered/State Registered Investment Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Patrick J Collins, Inc
Other
Executive Vice President & Chief Compliance Officer
1/2002 - 10/2004
Floor Broker and Direct Access, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE
Investec Ernst & Co.
Other
Vice President & Chief Compliance Officer
7/1996 - 11/2001
Investment Banking, Private Placement, Investment Advisor, Hedge Fund, Mutual Fund, Money-Laundering, E-Mail and Blue-Sky /Surveillance. Conducted annual reviews of business units offering diverse range of products. AML Officer, Chief Compliance Officer for the Broker Dealer, Specialist Broker and SEC Registered Advisory Business and Municipal Principal. Developed and Implemented Written Policies & Procedures, for Compliance, AML, KYC, enhanced due diligence/CE