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Joseph Uradnik
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- Securities
- Financial Services
- Investments
- Series 7
- Mutual Funds
- Show all
Bio
Experience
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Advisors Excel
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Topeka, Kansas, United States
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Compliance Examiner
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Feb 2021 - Present
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Topeka, Kansas, United States
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Associate Examiner
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Aug 2015 - Feb 2021
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Citizens Financial Group
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Norwood MA
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AVP/Compliance Officer
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Oct 2008 - Jun 2014
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Norwood MA
Conducted routine and investigative “for cause” branch examinations of assigned OSJ and branch office locations. Further responsibilities included drafting the firm’s official response to various regulatory inquiries, provided oversight to the Compliance Internal Surveillance & Centralized Supervision departments and conducted the firm’s 3012 and 206(4)-7 testing.
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financial advisor
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2003 - 2007
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Advest
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Middletown, CT
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VP Complex Manager
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Sep 1997 - Apr 2003
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Middletown, CT
1997-2003Recruited, developed and managed top performing sales office consisting of over 40 supervised persons though creation of strategic business plans, measurable goal and performance metrics and implementation of peer mentoring program.
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Education
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1989 - 1992New England School of Law
Juris Doctor (J.D.), Law -
1980 - 1984
Manhattanville College
Bachelor of Arts (B.A.), Psychology, Minor in Political Science -
Walpole
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Walpole
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Industry Focus. “Financial Services”
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