| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Chief Operating Officer-Equity Research |
Wells Fargo |
|
Sep 2020–Present |
9 mos |
| 2 |
Chief Administrative Officer-Equity Sales and Trading |
Wells Fargo |
|
Jul 2017–Sep 2020 |
3 yrs 3 mos |
| 3 |
Vice President- Equity Derivatives Compliance |
Wells Fargo Securities |
|
Mar 2015–Jul 2017 |
2 yrs 5 mos |
| 4 |
Compliance and Operational Risk Control-Trade Surveillance |
UBS Investment Bank |
|
Sep 2014–Mar 2015 |
7 mos |
| 5 |
Associate Director- Equities Middle Office |
UBS Investment Bank |
|
Aug 2010–Sep 2014 |
4 yrs 2 mos |
| 6 |
Sr Specialist- Equity Swaps |
Bank of America |
|
May 2008–Jul 2010 |
2 yrs 3 mos |
| 7 |
Consultant |
TwoFour Consultng- at Credit Suisse- Leverage Investment Group |
|
Jun 2007–May 2008 |
1 yr |
| 8 |
Co-Owner |
Option Mortgage |
|
2004–2006 |
2 yrs |