Expert 21375 - CA(S)


Expertise Description

I have over 20 years experience in management with securities and investment firms. My expertise includes: design, implementation and operation of new business ventures and re-structured entities. My background also includes operations and compliance, especially within a regulatory environment. I also have experience with business development, especially as relating to contract negotiations and writing.

Areas of Expertise


Consulting Experience

My consulting services include: Ensured regulatory compliance with state securities and insurance departments regarding broker-dealer, investment advisor and insurance agencies; Advised banks, broker-dealers, insurance companies, and investment advisors in many issues, including creation / design / implementation of registered product distribution.


Education

DegreeSubjectInstitution
B.S.Business EconomicsUniversity of California Santa Barbara

Licenses Certifications

Series 7
24
63
and 65 securities licenses
Life
Health
and Variable Contracts insurance licenses

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