Expert Qualifications
This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.
Bio Snapshot
- Location: California
- B.S., Engineering and Technology, Indian Institute of Technology
- M.B.A., Calcutta University
- M.B.A., Garvin School of International Management
- Certified: CPA, California Insurance, FINRA
- Member, American Institute of CPAs
- Member, Public Company Accounting Oversight Board
- Member, California Society of CPAs
- Member NSCP, National Society of Compliance Professionals
- Member ISACA, Information Systems Audit and Control Association
- Securities Licensed: SEC, FINRA, Series: 24, 7, 63, 55, 4, 27, 3, and 53
- Present, Principal, financial compliance services firm
