Exam History

Education/Experience

Industry Involvement

Recognition

Financial Services Industry Involvement

• New York Stock Exchange Series 7 Item Writing Committee
• Member, Financial Planning Association. Currently serving on the Board of Directors for the Financial Planning Association, 2011 - 2013
• Subject Matter Expert, Series 65/66 revisions, North American Securities Administrators' Association (NASAA)
• Securities Arbitrator for NYSE, NASD, CBOE, NFA and AAA
• Member, SIFMA Compliance and Legal Division
• American Bar Association, Business Law Section, Committee on Federal Regulation of Securities, and Committee on State Regulation of Securities.
• Adjunct Professor, William Mitchell College of Law
• Member, Financial Services Auditor Group, The Institute of Internal Auditors
• Member, Investment Management Council, Center for Fiduciary Studies
• Member, National Society of Compliance Professionals
• Member, Securities Experts' Roundtable