Experience

Joot
• United States
• Software Development
• Director of Compliance Services

  • Aug 2019 - Present


Advisory Compliance Solutions LLC

• United States

• Managing Member

  • Jan 2012 - Present

  Provide personalized business and compliance guidance and interpretation of applicable rules and regulations to registered investment advisers, hedge funds, and advisers to investment companies on all aspects of investment advisory business. Includes preparation and management of registration materials, regulatory filings, and compliance programs. Provide personalized business and compliance guidance and interpretation of applicable rules and regulations to registered investment advisers, hedge funds, and advisers to investment companies on all aspects of investment advisory business. Includes preparation and management of registration materials, regulatory filings, and compliance programs.


Mainstay Capital Markets Consultants, Inc.
• Financial Services
• 1 - 100 Employee
• Senior Industry Consultant

  • Aug 2004 - Dec 2011


SunTrust Banks, Inc.

• United States
• Civic and Social Organizations

• Registered Investment Adviser Compliance Manager/AVP

  • Apr 2004 - Aug 2004

  Chief Compliance Officer of SunTrust Securities, Inc. and SunTrust Capital Markets, Inc. Chief Compliance Officer of SunTrust Securities, Inc. and SunTrust Capital Markets, Inc.


Sterne Agee Asset Management, Inc.
• United States
• Compliance Officer

  • 2000 - 2004

Birmingham-Southern College
• United States
• Higher Education
• 200 - 300 Employee
• Investment Manager

  • 1998 - 2000

Central and South West Services, Inc.
• Senior Financial Analyst, Cash Management

  • Jan 1997 - Dec 1997

Oklahoma Office of State Treasurer
• United States
• Government Administration
• 1 - 100 Employee
• Chief Investment Officer/Assistant Treasurer

  • 1993 - 1995

City of Tulsa
• United States
• Government Relations Services
• 700 & Above Employee
• Manager, Treasury Services/Deputy City Treasurer

  • 1989 - 1993

Dean Witter Reynolds
• Account Executive

  • 1987 - 1989