Roberto Donovan

Principal Supervision and Compliance at InnReg
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Contact Information
us****@****om
(386) 825-5501
Location
Miami-Fort Lauderdale Area
Languages
  • Italian Native or bilingual proficiency
  • Spanish Professional working proficiency
  • English Native or bilingual proficiency
Skills

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Credentials

  • Financial and Operations Principal
    Financial Industry Regulatory Authority (FINRA)
    Sep, 2010
    - Oct, 2024
  • CAMS - Certified Anti-Money Laundering Specialist
    ACAMS
    Jul, 2009
    - Oct, 2024
  • Municipal Securities Principal
    Financial Industry Regulatory Authority (FINRA)
    Jul, 2006
    - Oct, 2024
  • General Securities Principal
    Financial Industry Regulatory Authority (FINRA)
    Apr, 1998
    - Oct, 2024
  • General Securities Sales Supervisor
    Financial Industry Regulatory Authority (FINRA)
    Aug, 1997
    - Oct, 2024
  • Registered Options Principal
    Financial Industry Regulatory Authority (FINRA)
    Dec, 1994
    - Oct, 2024
  • General Securities Representative
    Financial Industry Regulatory Authority (FINRA)
    Oct, 1993
    - Oct, 2024
  • Uniform Securities Agent State Law
    Financial Industry Regulatory Authority (FINRA)
    Oct, 1993
    - Oct, 2024

Experience

  • InnReg
    • United States
    • Business Consulting and Services
    • 1 - 100 Employee
    • Principal Supervision and Compliance
      • Jan 2017 - Present

      InnReg specializes in helping innovative companies succeed in highly regulated markets. We help founders, investors and innovators: - build sustainable operational and compliance platforms to support groundbreaking technologies and business models - validate product concepts and develop strategies to overcome regulatory obstacles to innovation - minimize regulatory risk and restrictions while developing disruptive products - solve complex regulatory scenarios We also provide outsourced day-to-day compliance management services. Show less

  • Vestfi LLC
    • Financial Services
    • Chief Compliance Officer
      • Feb 2021 - Jun 2022
  • Trade App
    • Financial Services
    • Chief Compliance Officer
      • Aug 2018 - Jun 2019
  • TradeKing
    • United States
    • Co-Founder & Chief Compliance Officer
      • May 2005 - Jun 2016

      2005-2008: Operations / Trading / Product 2008-2012: Chief Compliance Officer 2014-2016: Chief Compliance Office of TradeKing Advisors 2005-2008: Operations / Trading / Product 2008-2012: Chief Compliance Officer 2014-2016: Chief Compliance Office of TradeKing Advisors

  • optionsXpress
    • Financial Services
    • 1 - 100 Employee
    • Marketing Director
      • Nov 2002 - May 2005

      Online options and stocks brokers. Currently a Charles Schwab Company. Online options and stocks brokers. Currently a Charles Schwab Company.

  • Merrill Lynch
    • United States
    • Financial Services
    • 700 & Above Employee
    • Operating Officer of ML Direct
      • Oct 1999 - May 2001
  • SURETRADE
    • New Zealand
    • Construction
    • Director of Operations
      • Feb 1996 - Oct 1999

      A Quick & Reilly subsidiary. Bought by Fleet Bank (Bank of America) in 1997. Highly rated online stockbroker. A Quick & Reilly subsidiary. Bought by Fleet Bank (Bank of America) in 1997. Highly rated online stockbroker.

Education

  • Boston University
    Economics
  • Università degli Studi di Firenze
    Facoltà di Economia e Commercio

Community

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