Certifications
Series 24
Series 7
Series 99
Sector Experience
Financial Services
Languages
Portuguese
12
years
Years of Experience
12/19
Member Since
Experience
MTD Compliance Advisor LLC
Management Consulting
President
Advise executives of broker-dealers and investment advisers on all regulatory aspects of businesses including the market structure for equities and fixed-income securities, Regulation NMS, alternative trading systems (ATS) and Regulation ATS, direct market / sponsored access, and high frequency trading as well as mortgage backed securities.
Annaly Capital Management
Other
Associate General Counsel and Chief Compliance Officer
Designed, implemented, audited, and updated the supervision and compliance program systems. Obtained Series 7 and 24. Managed regulatory inquiries and oversight examinations.