Expert Qualifications

This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.

Bio Snapshot

  • Location: California
  • B.S., Engineering and Technology, Indian Institute of Technology
  • M.B.A., Calcutta University
  • M.B.A., Garvin School of International Management
  • Certified: CPA, California Insurance, FINRA
  • Member, American Institute of CPAs
  • Member, Public Company Accounting Oversight Board
  • Member, California Society of CPAs
  • Member NSCP, National Society of Compliance Professionals
  • Member ISACA, Information Systems Audit and Control Association
  • Securities Licensed: SEC, FINRA, Series: 24, 7, 63, 55, 4, 27, 3, and 53
  • Present, Principal, financial compliance services firm

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Certified Financial Planner Expert

State: GA

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