• Broker/Dealer Compliance Officer

    Siebert Williams Shank (New York, NY)
    …developing policies and procedures, communicating all regulatory changes to the taxable fixed income , municipal & equity securities sales & trading, public & ... and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a… more
    Siebert Williams Shank (10/04/24)
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