Resumes
Resumes

Consultant
View pageLocation:
350 North St, Dallas, TX 75203
Industry:
Investment Banking
Work:
Apex Clearing - Dallas, Texas since Jun 2012
SVP, Regulatory Reporting
Penson Financial Services Sep 2008 - Jun 2012
Senior Vice President Regulatory Reporting
Wamu Capital Corp 2001 - 2008
Controller/FVP
National Securities Sep 1987 - Nov 2001
Chief Financial Officer
National Association of Securities Dealers Aug 1983 - Aug 1987
Senior Compliance Examiner
SVP, Regulatory Reporting
Penson Financial Services Sep 2008 - Jun 2012
Senior Vice President Regulatory Reporting
Wamu Capital Corp 2001 - 2008
Controller/FVP
National Securities Sep 1987 - Nov 2001
Chief Financial Officer
National Association of Securities Dealers Aug 1983 - Aug 1987
Senior Compliance Examiner
Education:
Oregon State University 1973 - 1978
Finance
Finance
Skills:
Securities
Finance
Equities
Risk Management
Accounting
Financial Services
Auditing
Cash Management
Fixed Income
Management
Sec
Broker Dealer
Financial Statements
Strategic Planning
Finra
Series 7
Trading
Trading Systems
Financial Risk
Options
Prime Brokerage
Finance
Equities
Risk Management
Accounting
Financial Services
Auditing
Cash Management
Fixed Income
Management
Sec
Broker Dealer
Financial Statements
Strategic Planning
Finra
Series 7
Trading
Trading Systems
Financial Risk
Options
Prime Brokerage