He started in the securities industry in 1994, worked in several financial institutions from Sales to Compliance roles, all prior to opening his own Investment Adviser and concomitant, provides through his consulting firm (Risk & Compliance Consulting LLC) Supervisory, Compliance and AML best practices and attempts to be an effective resource to other advisers, broker-dealers and consulting firms. His strong suit has always been cross border and LATAM jurisdictions, and being able to speak fluently Portuguese and Spanish provides a key advantage when dealing across Latin America.
He started his pre-grad studied in California (Moorpark College and Fullerton College) and obtained his bachelor on Interdisciplinary Social Studies at the Florida International University (FIU). Most recently he has earned the Compliance Regulatory Certified Professional (CRCP) designation from the FINRA institute at Wharton –UPEN of Executive Education, helping to provide a solid securities and compliance background. Also obtained his AML Compliance Professional designation (CPAML) from FIBA/FIU. He normally provides training to other supervisors and isa guess speaker on securities panels.
He obtained the following securities licenses throughout his career: FINRA licenses 4 (Options Principal –licensed required to supervise Options activity on broker-dealers), 7 (General Securities License – provides the initial and basic training for broker-dealer securities representatives), 24 (General Sales Principal – allows person to supervise other broker-dealer registered representatives and it is a requirement for the main firm supervisor and the Chief Compliance Officer of a broker-dealer), and 65 (the Investment Advisor license –65, required to provide investment advice) and the 63 (Securities Agent State Law Exam, which provides the parameters when registering across US States, also known as the blue-sky law). Other licenses include his Series 8 (NYSE Supervisory license), and his Series 79 for Investment Banking.