Location:
150 Broadway, New York, NY 10002
Industry:
Financial Services
Work:
Alaric Compliance Services, LLC since Mar 2009
Director / Chief Compliance Officer / Consultant
Bear Stearns Asset Management, Inc. / Bear Stearns & Co. Inc. - New York, NY Jun 2001 - Jan 2009
Senior Compliance Officer / Chief Compliance Officer to four affiliated RIA's
PIMCO Advisers, LP Nov 1999 - May 2001
Compliance Manager
HSBC Asset Management Americas, Inc. Jan 1997 - Jul 1999
Head of Compliance / Manager
Smith Barney Jan 1987 - Dec 1996
Senior Compliance Analyst
Education:
Syracuse University 1981 - 1985
B.S., Accounting
Skills:
Hedge Funds
Equities
Investment Management
Mutual Funds
Investments
Asset Management
Securities
Financial Services
Investment Advisory
Fixed Income
Private Equity
Capital Markets
Finra
Commodity
Alternative Investments
Sec
Financial Advisory
Anti Money Laundering
Securities Regulation
Fund of Funds
