Expertise DescriptionI 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
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.
|B.S.||Business Economics||University of California||Santa Barbara|
|and 65 securities licenses|
|and Variable Contracts insurance licenses|
Awards & Affiliation
Partial List of Consulting Expert Witness Cases
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