Position:
Compliance/Operational Consultant at Alta Rock Global Securities, LLC
Location:
Miami/Fort Lauderdale Area
Work:
Alta Rock Global Securities, LLC
- River Vale, NJ since Feb 2012
-
Compliance/Operational Consultant
AgreeYa Solutions
- San Antonio, Texas Sep 2011 - Dec 2011
-
AML/KYC/BSA Compliance Redmediation Consultant
Souza Barros Inc.
- Miami, Brazil Feb 2011 - Jul 2011
-
Compliance/Trading/Operations/AML Consultant
VectorGlobal WMG
- Miami, New Jersey, Venezuela, Mexico, Colombia, Peru, Ecuador Jun 2009 - Jan 2011
-
Chief Compliance Officer Broker Dealer/Invesment Advisory - AMLCO - MSRB Principal
SFIS
- Miami FL, Houston and San Antonio TX, Bogota Colombia and Antigua Jun 2006 - Feb 2009
-
Deputy Director
ASD Brokerage
- Miami FL and Antigua Nov 2004 - Mar 2006
-
President - Chief Executive Officer - Chief Compliance Officer - AMLCO - MSRB Principal
Education:
TB Institute 1983 - 1985
Graduated, Finance, General
Rutgers University 1982 - 1983
Skills:
FINRA Series 7, 24, 53, 65, 55, 63, ACAM
Interests:
Basketball, Baseball, Football, Books, Movies, Cooking