Description: Received my first general and principal’s securities licenses in 1980. I spent the next 24 years in senior management positions for Wall Street firms. I have extensive experience in all aspects of supervising institutional and private client accounts. . I am a lecturer for the U. S. Securities and Exchange Commission’s examiner’s training program. I am also active in collaborative efforts with several Canadian securities regulatory authorities and investigative agencies.

Location: Sante Fe, NM