Experience

ViewTrade Holding Corp.

• Financial Services
• 1 - 100 Employee

• Compliance Officer

  • Dec 2021 - Present



National Securities Corporation - Securities offered through National Securities Corporation, member

• Boca Raton, FL

• Regional Supervisory Officer

  • Jul 2018 - Oct 2021

  Securities offered through National Securities Corporation, member FINRA/SIPC. Securities offered through National Securities Corporation, member FINRA/SIPC.



Kovack Securities, Inc.

• United States
• Financial Services
• 1 - 100 Employee

• O.S.J. Vice President

  • Dec 2014 - Jun 2018

  Nationwide responsibility of over 400+ reps. Some Daily responsibilities include: Trade Blotter Review and Approval. New Account Review and Approval. New Option Account Review and Approval with Assistance to the Trade Desk for incoming orders. Email Review and Approval.Outside Business Activity Review and Approval. Alternative Products Supervision- including REITS, Variable Annuities, EIA's, TAMPS, Oil & Gas etc... Advertising and Marketing Review and Approval. These are just a few of the every day responsibilities not including weekly, monthly and quarterly reviews, training and exams. Show less



TradeStation

• United States
• Financial Services
• 700 & Above Employee

• Client Services representative

  • Mar 2011 - Nov 2014