JU
Neuberger Berman BD LLCFirm websiteJessica Uem
Supervisory Principal
New York, New York
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17,100 with phone
60 professionals matching “Compliance Legal”
Search relevanceJH
HSBC Securities (USA) Inc.Firm websiteJohn Henry Ruggiero
Chief Compliance Officer, Investment Advisor
New York, New York
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TFS Securities, Inc.John J Moon
Compliance Associate, Wealth Management Associate
Lincroft, New Jersey
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A.G.P / Alliance Global PartnersJohn Joseph Venezia
Chief Compliance Officer, Chief Compliance Officer - Broker Dealer, Global Chief Compliance Officer
New York, New York
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L.O. Thomas & Co. Inc.John Wesley Risley
Chief Compliance Officer, Chief Executive Officer, Financial Advisor, FINOP, President
Linwood, New Jersey
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LPL Financial LLCFirm websiteJoseph Peter Rusin
Supervisory Principal
Carmel, New York
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Lesko Securities Inc.Karen Marie Stebbins
GSP, Operations Manager, Regulatory Contact
Vestal, New York
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Mercadien SecuritiesKenneth Alan Kamen
Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer, Member, President
Trenton, New Jersey
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Aegis Capital Corp.Kevin C Meade
Chief Compliance Officer, Compliance Officer, Financial Advisor, Regulatory Contact
New York, New York
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UBS Financial Services Inc.Firm websiteLisa M. Francomano
Chief Compliance Officer, Chief Financial Officer, Deputy Director - Compliance, Executive Director, Investment Advisor, Managing Director
Weehawken, New Jersey
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Almax Financial Solutions, LLCMark Christopher Schultz
Chief Compliance Officer, Member, Principal Financial Officer, Principal Operations Officer
Clinton, New Jersey
Request introductionMJ
Osaic Wealth, Inc.Firm websiteMatthew Joseph Soucy
Registration Associate
Jersey City, New Jersey
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