| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
VP, Compliance Testing & Surveillance |
Wedbush Securities |
Portland, Oregon, United States |
Feb 2021–Present |
4 mos |
| 2 |
Chief Compliance Officer at StanCorp Investment Advisers, Inc. / StanCorp Equities, Inc. |
The Standard |
Portland, Oregon Area |
Jan 2020–Feb 2021 |
1 yr 2 mos |
| 3 |
Surveillance Specialist, Market Regulation |
NYSE Chicago, Inc. |
Greater Chicago Area |
Aug 2016–Dec 2019 |
3 yrs 5 mos |
| 4 |
Director & Chief Compliance Officer |
Allstate Investments |
Northbrook, IL |
2011–2013 |
2 yrs |
| 5 |
Director of Compliance / VP & CCO |
Genworth Financial / GFAM |
Stamford, CT |
2007–2011 |
4 yrs |
| 6 |
Compliance Audit Manager |
Lincoln Financial Group |
Fort Wayne, IN / Philadelphia, PA |
2003–2007 |
4 yrs |