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United States
Find professionals and candidates
Finra

Finra professionals in United States

Explore 36 finra professionals in United States

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Looking for a Finra?

I need a Finra servicePost your request and receive proposals from qualified professionals in your area.I want to hire: FinraPost your job offer and receive applications from qualified people.

36people found for Finra

Ashley Johnston

Compliance and Admin manager FINRA registrations

Roanoke, Roanoke

Compliance and Admin manager FINRA registrations

Mickale Gilbert

VP Financial Consultant

VP Financial Consultant

Licensed FINRA representative (Series 7, 63, 66) with deep expertise in financial planning tools, risk management solutions

Roy Eanes

Senior Litigation and Arbitration Paralegal

Houston, City of Houston, Houston$45/hour

Hire their serviceslitigationparalegalarbitration

Experienced paralegal with product liability, employment, securities and many other cases in state and federal court, and AAA and FINRA

Tyrone Melville

Financial Profesional

The Bronx, Bronx County

Formerly fully registered with FINRA as well as the NFA (National Futures Association).

Tim Nicks

DIRECTOR / SVP – END USER COMPUTING & MODERN WORKPLACE

IntuneAutopilotWindows 365+29

Proven record delivering $10M+ cost avoidance, strengthening compliance (FINRA, NIST 800-53), and leading global teams of

Candice Cole

Strategic Marketing|Events&Experiential|Compliance

New York City, New York

Marketing Compliance and regulatory operations leader experienced in managing SEC and FINRA governance, advisor licensing

Bd Compliance Associates lnc

Mark

Norcross, City of Norcross, Grant

Founded by Carrie Wisniewski in 1994, a former FINRA Senior Examiner, the associates of our firm all have practical street

Jim Moore

SIE Exam tutor

New York City, New York

We specialize in CFA Exam Tutoring, FINRA Exams such as the SIE Exam and Series 7 Top-Off Exam, and tutoring for MBA students

Iris Quinones

Financial Services Customer Service

Jersey City, City of Jersey City, Hudson

Basic knowledge of SEC, FINRA, NAIC rules & regulations. Adherence to States Insurance Departments laws.

Christian Bruce

AML Compliance Analyst

Chicago, City of Chicago, Cook

false positives, and uncover complex financial crime patterns while maintaining compliance with BSA/AML, OFAC, SEC, and FINRA

Joel Morillo

Senior Relationship Banker / Business Banking

New York City, New York

FINRA - Series 6FINRA – Series 63New York Life Insurance

Matthew Maxwell

Commercial Credit Analyst

Albany, City of Albany, Albany

Therefore I maintain FINRA licenses and working knowledge of a wide variety of investment vehicles, with a focus on long-term

Julien Chaperon

Program manager / COO / Chief of staff / PMO

New York City, New York

Project Management Office (PMO); Certifications: Project Management Professional certified (PMP), ITIL4 Foundation, FINRA

Bruce Peck

Senior Talent Acquisition Specialist

Cohasset, Town of Cohasset, Norfolk

As a former FINRA Series 7, 63 licensed Financial Advisor I have deep appreciation for and understanding of the

Louis-Roger Fils-Aime

Attorney with Securities/Compliance Expertise

Chicago, City of Chicago, Cook

Licensed attorney with expertise in compliance, regulatory affairs, and financial markets, with a specialization in SEC and FINRA

Roxy Rodriguez

Certified Financial Planner

Washington, D.C., Washington

I hold the FINRA Series 66 and 7 securities registrations.

Chase Purnell

Investment & Portfolio Analyst | Asset Allocation

San Francisco, San Francisco County

Complementing this is my experience at FINRA, where I developed my skills in risk detection and operational efficiency

Paul Lin

Exploring Business Opportunities

San Jose, Santa Clara

I recently finished an internship at FINRA, the financial regulation body, where I focused on capital markets and investment

Pertrice Davis

Sales, Customer Service & Hospitality Experienced

Scranton, City of Scranton, Lackawanna

● Trained in the fingerprinting process for FBI background checks and FINRA security checks.

Edward dePasquale

Documented history of leadership results.

Miami, Miami-Dade County

Pentagon, USDOJ, FBI, SEC, FINRA, INTERPOL. Expert in Internal Fraud Detection and Corporate Embezzlement.

Jessica Stewart

Marketing Ops, Campaign Strategy, Demand Gen

St. Petersburg, Pinellas$125/hour

Hire their servicesdemand generationpaid mediamarketing operations+5

Coordinated FINRA-approved webinars, email nurtures, and display ads with field-marketing support.

Top locations

New york city, New york8 Chicago, City of chicago, Cook3 San francisco, San francisco county2 Albany, City of albany1 Camarillo, Ventura1 Cohasset, Town of cohasset, Norfolk1 Cumming, Forsyth1 Denver1 Eden prairie, City of eden prairie, Hennepin1 Houston, City of houston1 Jersey city, City of jersey city, Hudson1 Kalispell, Flathead1

Industries

Finance & Insurance12 Marketing5 Legal3 Technology & Media2 Human Resources2 Consulting2 Consumer Services1 Education1 Hospitality & Tourism1 Manufacturing1 Retail1 Transportation & Logistics1 Wellness1

Related profiles

Victor Achilike

Software Engineer

Springfield, Township of Capital, Sangamon$80/hour

Hire their servicessoftware engineerfull stack developercloud engineer+3

1–21 of 36

Top locations

New york city, New york8 Chicago, City of chicago, Cook3 San francisco, San francisco county2 Albany, City of albany1 Camarillo, Ventura1 Cohasset, Town of cohasset, Norfolk1 Cumming, Forsyth1 Denver1 Eden prairie, City of eden prairie, Hennepin1 Houston, City of houston1 Jersey city, City of jersey city, Hudson1 Kalispell, Flathead1

Industries

Finance & Insurance12 Marketing5 Legal3 Technology & Media2 Human Resources2 Consulting2 Consumer Services1 Education1 Hospitality & Tourism1 Manufacturing1 Retail1 Transportation & Logistics1 Wellness1