About Us     Bob has thirteen years with the State of California, Department of Corporations and five years with NASD/FINRA.  This experience has given him proficiency with:   Evaluating firm operating and supervisory structures   Researching rules, interpretations, and how they are applied   Operating all FINRA entitlement based reporting systems   Application of Sales Practice rules

Net Capital Computations, BD Accounting, and Sub-loan processes   Formal and informal interviewing   Researching regulatory trends and how to stay on top of them   BD and IA Examination procedures   Rep sales practice and Outside Business red flags   Advising junior members of a team