Erin Darby resumes & CV records
Resumes
Supervision Manager
Location:
Austin, TX
Industry:
Banking
Work:
Bank of America Merrill Lynch
Supervision Manager Bbva 2016 - Jun 2018
Supervisory Principal Ctx Capital Group 2016 - Jun 2018
Investment Associate Bbva Compass Dec 2012 - 2016
Coordinator Nfp Advisor Services 2010 - 2012
Brokerage Operations Scottrade 2008 - 2010
Investment Consultant
Supervision Manager Bbva 2016 - Jun 2018
Supervisory Principal Ctx Capital Group 2016 - Jun 2018
Investment Associate Bbva Compass Dec 2012 - 2016
Coordinator Nfp Advisor Services 2010 - 2012
Brokerage Operations Scottrade 2008 - 2010
Investment Consultant
Education:
Oklahoma State University 2008
Skills:
Supervisory Skills, Analytical Skills, Trade Compliance, Regulatory Compliance, Investment Sales, Finra, Financial Services, Investments, Securities, Series 24, Hold Series 7, Series 65, Series 63, Series 53, Risk Management, Investment Advisory Services, Sales, Financial Risk
Certifications:
Tx General Lines Agent- Life, Accident, Health, Hmo
Series 7, Finra General Securities License
Series 63, Finra Uniform Securities State Law
Series 65, Finra Uniform Investment Adviser Law
Series 24, Finra General Securities Principal License
Series 53, Finra Municipal Securities Principal License
Series 7, Finra General Securities License
Series 63, Finra Uniform Securities State Law
Series 65, Finra Uniform Investment Adviser Law
Series 24, Finra General Securities Principal License
Series 53, Finra Municipal Securities Principal License