| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Senior Vice President & Deputy Director of Compliance |
Wells Fargo Advisors |
|
Feb 2005–Present |
16 yrs 4 mos |
| 2 |
Director of Compliance Advisory Services |
Merrill Lynch |
|
2003–2005 |
2 yrs |
| 3 |
Director of Global Private Client Surveillance, Technology & Options Compliance |
Merrill Lynch |
|
2001–2003 |
2 yrs |
| 4 |
Director of Global Private Client Online Brokerage Compliance |
Merrill Lynch |
|
2000–2001 |
1 yr |
| 5 |
VP & Chief Compliance Officer |
Quick & Reilly |
|
1995–2000 |
5 yrs |
| 6 |
Vice President of Compliance |
Charles Schwab |
|
1994–1995 |
1 yr |
| 7 |
Director of Compliance |
Quick & Reilly |
|
1988–1994 |
6 yrs |
| 8 |
Controller |
Gabelli Asset Management |
|
1987–1988 |
1 yr |
| 9 |
Senior Broker-Dealer Examiner |
US Securities and Exchange Commission |
|
1983–1987 |
4 yrs |