Chief Compliance Officer
aegiscapcorp.com
morganstanley.com
empiream.com
ubs.com
Compliance Officer
Aegis Capital Corp.
• www.linkedin.com/company/aegis-capital-corp
• Full-time
Oct 2021 - Present
United States
Chief Compliance Officer
Empire Asset Management Company
• www.linkedin.com/company/empire-asset-management
Apr 2016 - Jun 2020
Managing Director, Sales
Empire Asset Management Company
Jul 2012 - May 2014
2 Rector Street, 15th Floor New York, New York 10006
Financial Advisor
UBS Wealth Management
• www.linkedin.com/company/ubs
Nov 2011 - May 2012
299 Park Avenue, 25th Floor New York, New York 10171
Financial Advisor, Senior Vice President-Portfolio Manager 450 Lexington Ave. NY, NY
Morgan Stanley Smith Barney
• www.linkedin.com/company/morgan-stanley
May 2010 - Aug 2011
Kaufman Bros. L P - Director of Executive Services
Kaufman Bros. L P (KBRO)
Nov 2000 - Jan 2005
800 Third Avenue NY, NY 10022
Branch Manager, Vice President Private Client Services
Prudential securities Inc
Nov 1995 - Nov 1999
National Equities Sales Manager, Senior Vice President Private Client Group
Lehman Bros., Inc.
Sep 1978 - Nov 1995
