| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Director, Compliance |
Houlihan Lokey |
|
Mar 2021–Present |
3 mos |
| 2 |
Managing Director, FICC Compliance, Swap Dealer CCO |
BTIG |
San Francisco Bay Area |
Mar 2009–May 2020 |
11 yrs 3 mos |
| 3 |
Securities Division, Vice President, Municipal and Money Market Compliance |
Goldman Sachs |
New York, NY |
Sep 2007–Jan 2009 |
1 yr 5 mos |
| 4 |
Director, Compliance Municipal Securities Group |
UBS |
New York, NY |
Apr 2005–Sep 2007 |
2 yrs 6 mos |
| 5 |
Senior Data Analyst |
MSRB |
Washington, DC |
Dec 1996–Oct 2004 |
7 yrs 11 mos |
| 6 |
Research Assistant |
JJ Kenny |
New York, NY |
1995–1996 |
1 yr |