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Influence Score: 236
160,132 out of 862,898 Veterans
160,132 out of 862,898 Veterans
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Regulatory and compliance professional and U.S. Air Force veteran. Over 15 years of experience in the securities and advisory industry interpreting and applying federal securities rules and regulations and firm’s policies; responding to federal and local regulator’s inquiries; implementing trade surveillance and monitoring tools/systems; and establishing market, insider and employee surveillances.
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