| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Chief Compliance Officer |
William Blair |
|
Dec 2019–Present |
1 yr 6 mos |
| 2 |
Deputy Chief Compliance Officer |
William Blair |
Chicago, Illinois |
Oct 2019–Dec 2019 |
3 mos |
| 3 |
Director, Compliance |
Vista Equity Partners |
Greater Chicago Area |
Apr 2018–Oct 2019 |
1 yr 7 mos |
| 4 |
Compliance Officer - Investment Management Counseling |
William Blair |
Greater Chicago Area |
Dec 2015–Apr 2018 |
2 yrs 5 mos |
| 5 |
Surveillance Director |
Financial Industry Regulatory Authority (FINRA) |
|
Sep 2015–Dec 2015 |
4 mos |
| 6 |
Associate District Director |
Financial Industry Regulatory Authority (FINRA) |
|
Oct 2014–Sep 2015 |
1 yr |
| 7 |
Examination Manager |
FINRA |
|
Aug 2010–Oct 2014 |
4 yrs 3 mos |
| 8 |
Principal Examiner |
FINRA |
|
Jun 2004–Aug 2010 |
6 yrs 3 mos |