Experience
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VP, Compliance - Investment Products and Advisory Services at Raymond James
Oct 2024 - Present · 1 yr 10 mos
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Managing Director, RIA Chief Compliance Officer at Wells Fargo Advisors
Feb 2005 - Sep 2024 · 19 yrs 8 mos
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Partner, Chief Compliance Officer at Lockwood Financial Services, Inc.
Jan 1999 - Mar 2004 · 5 yrs 3 mos
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Investment Management Services at Legg Mason
Jun 1998 - Dec 1998 · 7 mos
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Risk Management / Product Compliance at Alex. Brown
Aug 1996 - Jun 1998 · 1 yr 11 mos