Position:
VP/Senior Compliance Advisor at D.A. Davidson & Co.
Location:
Great Falls, Montana Area
Work:
D.A. Davidson & Co.
since Oct 2012
-
VP/Senior Compliance Advisor
FINRA
2000 - 2012
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Committee Member
D.A. Davidson & Co.
Jun 1998 - Sep 2012
-
VP/Director of Compliance
OppenheimerFunds
1997 - 1998
-
VP/Director of Compliance
RAF Financial Corp
1986 - 1996
-
VP
NASD
Sep 1983 - Aug 1986
-
Compliance Examiner
Education:
The University of Montana - School of Business Administration 1979 - 1981
BS, Accounting