NASD (FINRA) - District 2
Compliance Examiner
Law Offices of E. Lawrence Harasym III
Principal Attorney
Imperial Capital, LLC
Vice President, Director of Compliance
JonesTrading Institutional Services LLC and JonesTrading Canada Inc.
Associate Counsel and Chief Compliance Officer
Targeting Compliance, Risk, and Internal Audit Roles
Regulatory Compliance and Risk Professional
FINRA (Financial Industry Regulatory Authority)
Principal Examiner, Capital Markets
BNY Mellon
Director, Compliance and Ethics
Loyola Marymount University
Thomas Jefferson School of Law
