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







www.srccompliance.com | Copyright 2009