Greater Phoenix Area
752 followers 500+ connections

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About

Seasoned Chief Compliance Officer and Consultant with 25 years of leadership in the…

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Experience & Education

  • Bates Group

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Licenses & Certifications

  • Series 65 Graphic

    Series 65

    NASAA

    Issued
  • Series 66 Graphic

    Series 66

    FINRA

    Issued
  • Series 24 Graphic

    Series 24

    FINRA

    Issued
  • Series 7 Graphic

    Series 7

    FINRA

    Issued
  • CRCP - Certified Regulatory Compliance Professional

    FINRA Institute at Georgetown

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