As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Fred brings nearly twenty-five years of experience working at all levels of broker-dealer operations. Most recently, he served as the FINOP for one of the country’s largest independent, institutional focused fixed income brokers-dealers where he was responsible for all FINRA and SEC filings, net capital calculation, financial reviews, and audit preparation. Fred graduated from the University of Oklahoma and completed an MBA from Texas State University. Fred maintains the Series 7, 24, 27, 55, and 63 registrations.