Valerie Roberts Jd
Experienced regulatory consultant with the ability to analyze complicated transactional and regulatory issues. I have served as an... | Charlotte Metro, Charlotte Metro, United States
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Valerie Roberts Jd’s Emails va****@we****.com
Valerie Roberts Jd’s Phone Numbers No phone number available.
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Valerie Roberts Jd’s Location Charlotte Metro, Charlotte Metro, United States
Valerie Roberts Jd’s Expertise Experienced regulatory consultant with the ability to analyze complicated transactional and regulatory issues. I have served as an Officer of Supervisory Procedure/Branch Manager for multiple institutional investment programs that exceeded regulatory and B/D requirements. In addition to my branch management experience I have responded to FINRA and SEC inquires and assisted with FINRA and SEC Exams for both brokerage and advisory service clients. My goal is to use this combined knowledge to build a career as an investment compliance professional at the CCO level.
Valerie Roberts Jd’s Current Industry Yoh A Day And Zimmermann
Valerie
Roberts Jd’s Prior Industry
Bank Of America
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Aflac
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Tiaa Cref
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Lpl Financial
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Signature Consultants
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Wells Fargo
|
Yoh A Day And Zimmermann
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Work Experience
Yoh A Day And Zimmermann
Business Analyst
Thu Oct 01 2020 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Wells Fargo
SSR Investigator
Mon Oct 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Jul 01 2020 00:00:00 GMT+0000 (Coordinated Universal Time)
Lpl Financial
Sr. Analyst -Discovery
Mon Dec 01 2014 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Oct 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Lpl Financial
Compliance Analyst/Surveillance
Wed May 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Dec 01 2014 00:00:00 GMT+0000 (Coordinated Universal Time)
Signature Consultants
Business Consultant
Sat Oct 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed May 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time)
Lpl Financial
Regulatory Analyst
Thu Apr 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Oct 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)
Lpl Financial
Senior Compliance Analyst
Thu Nov 01 2007 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Apr 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time)
Tiaa Cref
Wealth Management Consultant
Tue Aug 01 2006 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Nov 01 2007 00:00:00 GMT+0000 (Coordinated Universal Time)
Aflac
Sales
Sat Jan 01 2005 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Jan 01 2006 00:00:00 GMT+0000 (Coordinated Universal Time)
Bank Of America
ROS
Thu Nov 01 2001 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Feb 01 2004 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Valerie Roberts Jd Email Addresses
FAQ About Valerie Roberts Jd
-
Valerie Roberts Jd is located at
Charlotte Metro, Charlotte Metro, United States -
Valerie Roberts Jd is a
Experienced regulatory consultant with the ability to analyze complicated transactional and regulatory issues. I have served as an Officer of Supervisory Procedure/Branch Manager for multiple institutional investment programs that exceeded regulatory and B/D requirements. In addition to my branch management experience I have responded to FINRA and SEC inquires and assisted with FINRA and SEC Exams for both brokerage and advisory service clients. My goal is to use this combined knowledge to build a career as an investment compliance professional at the CCO level. Yoh A Day And Zimmermann -
Valerie Roberts Jd currently works in the
Yoh A Day And Zimmermann -
Valerie Roberts Jd specializes in
Experienced regulatory consultant with the ability to analyze complicated transactional and regulatory issues. I have served as an Officer of Supervisory Procedure/Branch Manager for multiple institutional investment programs that exceeded regulatory and B/D requirements. In addition to my branch management experience I have responded to FINRA and SEC inquires and assisted with FINRA and SEC Exams for both brokerage and advisory service clients. My goal is to use this combined knowledge to build a career as an investment compliance professional at the CCO level. -
Valerie Roberts Jd speaks the following languages:
No languages available. -
Valerie Roberts Jd has prior experience in the following industries:
Wells Fargo , Lpl Financial , Lpl Financial , Signature Consultants , Lpl Financial , Lpl Financial , Tiaa Cref , Aflac , Bank Of America -
Valerie Roberts Jd has the following professional experience:
Yoh A Day And Zimmermann , Wells Fargo , Lpl Financial , Lpl Financial , Signature Consultants , Lpl Financial , Lpl Financial , Tiaa Cref , Aflac , Bank Of America . -
You can view Valerie Roberts Jd’s
LinkedIn profile at LinkedIn URL. -
Valerie Roberts Jd’s work email addresses are
[email protected] . -
Valerie Roberts Jd works at
Yoh A Day And Zimmermann
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