I am currently with LIMRAs Regulatory Services Department. We provide regulatory compliance consulting and auditing services for broker-dealers and investment advisers.
Compliance professional in retail broker / dealer regulatory compliance since 1997, in the financial services industry since 1991. I have passed the following Series Exams 4, 6, 7, 24, 26, 66. (Inactive)
Member of the SocialTurns Council.
Contact me to learn more about LIMRA Compliance and Regulatory Services.
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social medialimra_crslimraerisadisclosureinvestmentinsurancefiduciaryregulationsmarketingfinracomplianceregulatory compliancefinancial services
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