AC
ACA/Prudent Investors Planning CorporationAlan Craig Achtel
Chief Compliance Officer, President, Principal Financial Officer, Principal Operations Officer
Dunellen, New Jersey
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60 professionals matching “Compliance Legal”
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LifeMark Securities Corp.Alexandre Georgiev
Chief Compliance Officer, Director - Operations
Rochester, New York
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McDonnaugh Securities LLCAndre Ian McDonnaugh
Chief Compliance Officer, Chief Executive Officer, Founder
Baldwin, New York
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Merrill Lynch, Pierce, Fenner & Smith IncorporatedFirm websiteAnna K Snider
Chief Investment Officer, Head - Global Equity Due Diligence
New York, New York
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Principled Advisors, Inc.Anthony Girellini
Chairman, Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer, FINOP
Staten Island, New York
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J.P. Morgan Securities LLCFirm websiteBethany Gayle Hammer
Risk Analytics, Senior Associate
Jersey City, New Jersey
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Morgan StanleyFirm websiteCarol Lynn Doran-Timmins
First Vice President - Wealth Management, Senior Complex Risk Officer
Red Bank, New Jersey
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Coombe Financial Services, Inc.Catherine M Coombe
Advisor, Chief Compliance Officer, Compliance Officer, Vice President
Wawarsing, New York
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Halliday Financial, LLCChristopher Vincent Truncellito
Compliance Associate, Financial Advisor
Glen Head, New York
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Citigroup Global Markets Inc.Firm websiteDana Lynn Platt
Chief Compliance Officer, Director, Global Head - Global Investments
New York, New York
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Wells Fargo Clearing Services, LLCFirm websiteDaniel R. Smith
Financial Advisor, Senior Vice President - Financial Products Compliance
Woodbridge, Connecticut
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BNY Mellon Securities CorporationDerrick Parker
Compliance Officer, Investment Advisor
New York, New York
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