Experience

• 

  Southwest Securities, Inc.

  • Beverly Hills and San Diego

  • Senior Vice President

    • Dec 2008 - Oct 2015
    • Beverly Hills and San Diego

    Senior Vice President of Operations and AdministrationBranch Manager

• 

  M.L. Stern and Co., LLC

  • Beverly Hills

  • Senior Vice President Marketing

    • Dec 1985 - Dec 2008
    • Beverly Hills

    Responsible for all branding, marketing and advertisement programs and product presentations.Held many positions during my long tenure including Director of Mutual Funds and Annuities.

• 

  BOCL Secrities Corp.

  • Los Angeles, Ca.

  • Vice President, Chief Financial Officer

    • Jan 1984 - Dec 1985
    • Los Angeles, Ca.

    Responsible for financial and accounting operations including the preparation and reporting of periodic regulatory and management financial reports.

• 

  Vice Presidi

  • Beverly Hills, Ca

  • Vice President, Controller

    • Jan 1982 - Jan 1984
    • Beverly Hills, Ca

    Responsible for financial and accounting operations including the preparation and reporting of periodic regulatory and management financial reports.

• 

  M.L. Stern and Co., Inc.

  • Beverly Hills, Ca.

  • Vice Pesident, Assistant Controller

    • Jan 1981 - Dec 1982
    • Beverly Hills, Ca.

    Responsible for financial and accounting operations including the preparation and reporting of periodic regulatory and management financial reports.

• 

  Financial Industry Regulatory Authority (FINRA)...

  • Los Angeles and New York

  • Senior Compliance Examiner

    • Aug 1978 - Jan 1981
    • Los Angeles and New York

    Auditing and annual examination of NASD broker / dealers to ensure compliance with financial and sales practices rules and regulations