FINRA Series 7, 24, 79 30 year career in financial services & securities industry
At Exemplar
Internal Deal Compliance Principal/Officer
Working closely with C-Suite to enhance the supervision, drafting and implementing firm
policies, and governance of the broker-dealer and FINRA related business
Alternative Investments Distribution
Private Placement Capital Sourcing
Leadership
The Real Me
Married almost 40 years (to the same wonderful gal!), father to several 4-legged family members, avid golfer, appreciate fine wine, single malt scotch, & premium cigars. Proud Clemson Tiger!
