Dominic Herridge
Senior Vice President, Head of Licensing and Registrations at Steward Partners Global Advisory- Claim this Profile
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Bio
Experience
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Steward Partners Global Advisory
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United States
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Financial Services
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200 - 300 Employee
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Senior Vice President, Head of Licensing and Registrations
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Jun 2023 - Present
Overland Park, Kansas Steward Partners Global Advisory is an employee-owned, full-service partnership, catering to family, institutional and multigenerational investors. Our financial advisors deliver comprehensive wealth planning and investment strategy implementation, professional asset services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering bespoke service with an unwavering commitment to excellence. Securities services are… Show more Steward Partners Global Advisory is an employee-owned, full-service partnership, catering to family, institutional and multigenerational investors. Our financial advisors deliver comprehensive wealth planning and investment strategy implementation, professional asset services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering bespoke service with an unwavering commitment to excellence. Securities services are offered through Steward Partners Investment Solutions, LLC (SPIS), registered broker/dealer, Member FINRA/SIPC. Investment advisory services Offered through Steward Partners Investment Advisory (SPIA), registered investment advisory. SPIS and SPIA are affiliates of Steward Partners Global Advisory, LLC. For important disclosure information, please see "Disclosures" page on our website https://www.stewardpartners.com/Disclosures.36.htm. Show less
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Ivy Investments
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United States
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Financial Services
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1 - 100 Employee
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Vice President - Compliance
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Apr 2018 - Jun 2022
Overland Park, Kansas
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National Life Group
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United States
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Financial Services
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700 & Above Employee
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Vice President - Compliance
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Oct 2005 - Nov 2017
Montpelier, Vermont Vice President - Compliance, December 2011 - November 2017 Assistant Vice President - Compliance, March 2008 - December 2011 Director - Compliance, October 2005 - March 2008
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Ameriprise Financial Services, Inc.
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United States
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Investment Banking
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1 - 100 Employee
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Field Compliance Supervisor
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Apr 2002 - Oct 2005
Green Bay, Wisconsin
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Trading Surveillance Manager
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Apr 1996 - Apr 2002
Greater Los Angeles Area Trading Surveillance Manager, April 1999 - April 2002 Trading Surveillance Analyst, July 1998 - March 1999 Registered Representative, April 1996 - June 1998
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Hambros Bank
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Hospitals and Health Care
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1 - 100 Employee
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Official, Eurobond Trader
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Apr 1994 - Jun 1995
London, United Kingdom
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Nikko Europe
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United Kingdom
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Professional Training and Coaching
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Eurobond Trader
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Sep 1990 - Mar 1994
London, United Kingdom
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Education
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University of California, Los Angeles
Bachelor of Arts (BA), Economics -
University of Vermont
Master of Business Administration (MBA), Business Administration and Management, General
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