| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
SVP, Head of Enterprise-wide Operational Risk |
Wedbush Securities |
Los Angeles, California |
Jan 2019–Present |
2 yrs 5 mos |
| 2 |
A. Principal - Risk Oversight & Operational Regulation |
FINRA (Financial Industry Regulatory Authority) |
|
Jun 2017–Dec 2018 |
1 yr 7 mos |
| 3 |
SVP Institutional Sales Americas - COO & Business Manager |
HSBC Global Banking and Markets |
|
2011–2015 |
4 yrs |
| 4 |
Capital Markets Prime Services - U.S. Head of Fixed Income Business Development |
Barclays Investment Bank |
|
2008–2011 |
3 yrs |
| 5 |
Capital Markets Prime Services -U.S. Head of Fixed Income Business Development |
Lehman Brothers |
|
2004–2008 |
4 yrs |
| 6 |
Vice President Information Technology - Business Process Reengineering |
Deutsche Bank |
Greater New York City Area |
2003–2004 |
1 yr |
| 7 |
Vice President Operations - Business Development |
Morgan Stanley |
New York & London |
1989–2003 |
14 yrs |