I am a trader, portfolio manager, and outsourced principal across asset classes and geographies. I help build, fix, and supervise broker-dealers, investment advisers, asset managers, banks, and alternative investment firms, providing: • Compliance • Business Development • Fundraising • Risk ...more

I am a trader, portfolio manager, and outsourced principal across asset classes and geographies. I help build, fix, and supervise broker-dealers, investment advisers, asset managers, banks, and alternative investment firms, providing: • Compliance • Business Development • Fundraising • Risk Management. I am currently: • Chief Compliance Officer of Linden Thomas Advisory Services, LLC (CRD#: 288557) • Chief Investment Officer of Global Pacific Securities US, Inc (CRD #: 304566). I am a licensed: • Series 7 Registered Representative • Series 79 Investment Banking Representative • Series 63 Securities Agent • Series 65 Investment Adviser • Series 24 General Securities Principal • Series 14 Compliance Officer • Series 4 Registered Options Principal CRD#: 1842154less