California Broker Dealer Supervision Expert #49960

I have 17 years of experience, and specialize in the field of broker dealer supervision with specific knowledge in the areas of investment products, securities regulations and financial professional compensation. I have published on such topics as broker-dealer annual compliance training, broker-dealer anti-money laundering training and broker-dealer written supervisory issues. I have testified 30 times on topics such as securities compliance, ethical dealings and investment products.

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