Experienced Financial Services professional with over 20 years of industry experience. Extensive expertise in broker-dealer and RIA regulation, including FINRA, SEC, MSRB, DOL and state agencies. FINRA Series 7, 63, 65, 4, 9/10 licensed -Broker-Dealer and RIA compliance and operations -Policy and Procedures development and testing -Regulatory Filings and Examinations -Customer Complaint and Arbitration Processing -AML Program evaluation and testing -Annual Branch Examination and Employee Disclosure, Attestation and Training -Registered Options Principal and Supervision -Regulation Best Interest and Form CRS -Fixed Income Trading compliance