Pamela Rockley

Plus aucun poste en cours

Profil

Ms. Rockley has been engaged in the securities business for over 25 years and holds the NASD/NYSE Series 4, 7, 9/10, 24, 53, 55, 63 and 65 securities licenses, and the NFA/CFTC Series 3 license.
She also holds the Series 87 in the Research Principal category and supervises Equity Research Analysts and report production.
Ms. Rockley has worked for major wire houses, the brokerage division of a major U.S.
bank, small boutique firms, NASDAQ market making firms, and a proprietary and day trading firm.
As a senior manager in brokerage and banking she has been actively involved in supervising both retail and institutional firms in the areas of compliance, operations, and administration.
She has worked and continues to work on a limited basis as a consultant to broker-dealers, investment advisors and other consulting firms in a variety of capacities.
She has advised many firms including U.S.
based NASD broker-dealers affiliated with foreign financial institutions under SEC Rule 15a-6.
Ms. Rockley is a specialist in Anti-Money Laundering, the USA Patriot Act and U.S broker-dealer compliance.
Earlier in her career, she was employed as an Institutional Trader and Futures Research Analyst; she has published acclaimed research reports on futures and options for large brokerage firms and has been frequently quoted in major newspapers and made news media appearances.
Ms. Rockley received a Bachelor of Arts degree from Vassar College in 1979.

Anciens postes connus de Pamela Rockley

Sociétés	Poste	Fin
J. Giordano Securities Group, Inc.	Compliance Officer	02/07/2013