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Chat withState: California
Acquired: 2000
No misconduct found
1350 Columbia Street, Suite 300, San Diego, CA, 92101
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2000 - Present
State Bar of CaliforniaMember
2000 - Present
San Diego County Bar AssociationMember
Member
1996
JD - Juris Doctor
1993
BA - Bachelor of Arts
2007
IA Compliance for Beginners (Elementary Level); and IA — Wrap-Fee Accounts: Managed Accounts and Multi-Discipline Portfolios
2007
Advertising Compliance: SEC Performance and GIPS Guide
2007
IA Performance Advertising and Marketing
2007
Defining the Supervision Obligation and the Differences Between Broker-Dealers and Investment Advisers; and CCO Best Practices and Compliance Program Issues for the Dually Registered
2007
Cross-Channel Marketing Compliance and Managing Conflicts of Interest within a Multi-Line Business; and How to Conduct the Annual Compliance Review
2006
Designing Internal Controls and Writing and Implementing Policies and Procedures
2006
Investment Adviser Fundamentals of Compliance
2006
Risk Management and Conflicts of Interest: Conducting Compliance Reviews
2006
New and Old Form ADV Disclosure Requirements
2006
Testing Your Compliance Policies and Procedures
2006
Hands-On Experience With the 1940 Act
2006
Learn How to Prepare and Thrive Through an SEC Audit
2006
The Key Elements of a Successful Compliance Program
2006
State of the State: Compliance Program Benchmarking - Where do you Rank?
2006
Creating an Accurate and Effective Disclosure Document
2006
IA Changing Complexion of the Chief Compliance Officer and the Compliance Department
2006
The Deadline Approaches: How to Conduct the Annual Compliance Review
2007
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2001