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Carol Kim Supancheck Weiss
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Profil
Ms. Carol Weiss is Chief Compliance Officer at KWK Management LLC.
Prior to joining KWK Management, Ms. Weiss was a Senior Compliance Examiner with FINRA (previously NASD) for six years, where she led routine and special examinations of member firms' financial, sales, trading, underwriting and supervisory practices.
Prior to joining FINRA, Ms. Weiss held various operational management roles for companies in the mortgage industry.
Ms. Weiss received a BS in Business Administration from California State University, Fullerton.
Anciens postes connus de Carol Kim Supancheck Weiss
| Sociétés | Poste | Fin |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Operates as a non profit organization that focuses on governing activities of all broker-dealer firms and brokers | Corporate Officer/Principal | 31/12/2004 |
Formation de Carol Kim Supancheck Weiss
Expériences
Fonctions occupées
Actives
Inactives
Sociétés cotées
Entreprise privées
Relations
20
Relations au 1er degré
2
Entreprises liées au 1er degré
Homme
Femme
Administrateurs
Exécutifs
Sociétés liées
| Entreprise privées | 2 |
|---|---|
California State University-Fullerton
 California State University-Fullerton Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Operates as a non profit organization that focuses on governing activities of all broker-dealer firms and brokers | Commercial Services |
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