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David Spotts

SVP and Chief Compliance Officer

New York, New York

Work:
Employment History of David Spotts

Fidelity Investments - Fidelity Capital Markets

SVP and Chief Compliance Officer


Bracewell & Giuliani LLP

Counsel


Washington, Perito & Dubuc (Formerly: Finley, Kumble, et al.)

Corporate Associate


Fidelity Investments

Assistant General Counsel


Financial Industry Regulatory Authority

Counsel


SEC - Northeast Regional Office and Division of Corporation Finance (Washington

Branch Staff


Liquidnet

Head of Global Compliance and US CCO

Schools:
Schools Attended by David Spotts

Suffolk University Law School


Georgetown University Law Center

Related:
Others that have worked at the same companies
Client Service Representative at liquidnet.com

Head of Product at liquidnet.com