Position:
Senior Compliance Resolution Investigator at Edward Jones
Work:
Edward Jones
since Apr 2004
-
Senior Compliance Resolution Investigator
Edward Jones
Jun 2000 - Apr 2004
-
Field Supervision Director
First Brokerage America LLC
Jan 2000 - May 2000
-
Compliance and Operations Director
CIBC Oppenheimer
Sep 1998 - Oct 1999
-
Compliance and Administrative Manager
Missouri Securities Division
Apr 1996 - Aug 1998
-
Enforcement Auditor II
Illinois Department of Securities
Sep 1992 - Mar 1996
-
Enforcement Auditor II
Education:
Southern Illinois University, Carbondale
Bachelors +, Accounting and Finance
Skills:
Mutual Funds, FINRA, Equities, Series 24