Chris Rohde work email
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I advise businesses on a host of legal and regulatory matters. I have expertise in fintechs, securities, privacy, corporate formation, corporate financing, sales contracts, and broker-dealer law. I am admitted to the Virginia State Bar.DISCLAIMER: This material may be considered attorney advertising under certain rules of professional attorney conduct.
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AssociateEarley Business LegalRichmond, Va, Us -
AssociateEarley Business Legal Jul 2022 - PresentRichmond, Virginia, United States -
AssociateEarley Business Legal Jul 2022 - PresentRichmond, Virginia, United States
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Corporate CounselWealthforge May 2020 - Jul 2022Richmond, Virginia, United States -
Associate Corporate CounselWealthforge Jan 2018 - May 2020Richmond, Virginia Area- Handles SEC, FINRA, and state security agency inquiries and responses.- Part of company's cybersecurity team.- Drafts, reviews, and negotiates contracts and other legal documents as part of the company's legal team. - Advises Firm CEO, CCO, and compliance department on legal matters pertaining to securities laws, FINRA Rules, cybersecurity, and other legal matters.- Supervised multiple on-site branch reviews by FINRA as part of a FINRA Sales-Cycle Examination.- Led successful effort to expand the broker-dealer's business through FINRA's Membership Application Program.- Develops and maintains written supervisory procedures, Anti-Money Laundering procedures and the firm’s Business Continuity Plan.- Coordinates weekly call with outside legal counsel.- Produce other internal policy statements resulting from rule changes. - Conducts internal investigations as required.- Assists in maintaining Form BD, U4, and U5 Filings, facilitates internal training program on FINRA and SEC rules.
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Legal Associate, ComplianceWealthforge Sep 2015 - Feb 2018- Handles SEC, FINRA, and state security agency inquiries and responses.- Advises Firm CEO, CCO, and compliance department on legal matters pertaining to securities laws, FINRA Rules, and occasional other legal matters.- Supervised on-site branch review by FINRA as part of a FINRA Sales-Cycle Examination.- Develop and maintain written supervisory procedures, Anti-Money Laundering procedures and the firm’s Business Continuity Plan.- Produce other internal policy statements resulting from rule changes. - Led task force responsible for developing policies pertaining to issuer communications with the public.- Conducts internal investigations as required.- Assists in maintaining Form BD, U4, and U5 Filings, facilitates internal training program on FINRA and SEC rules.- Part of a three-person team for the Broker-Dealer responsible for providing requirements for the product development process to guide development to compliant and value-added products and services.- Collaborate with Firm's Legal Department and Outside Counsel on legal matters arising from securities laws.- Files 5123 filings with FINRA.
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Summer Legal/Compliance InternWealthforge May 2014 - Oct 2014Worked on Series B financing, helped draft and pursue no-action relief from the SEC, drafted “playbook” on the various private offerings that WealthForge offered, worked on NMA for new BD, helped with Regulation A offering, registered subsidiary entities, drafted contracts, participated in negotiations with clients, and worked with outside counsel on various issues.
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Legal InternArchitectural Graphics, Inc Jul 2013 - Aug 2013Served as liaison between corporation and outside counsel, creatednew form contract, revised boiler-plate language on purchase orders, and reviewed company policies. -
Legal Intern To The General CounselUniversity Of Richmond May 2013 - Jul 2013Assisted the General Counsel in her duties. Did various tasks such as contract review, policy revision, and research
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Project ManagerArchitectural Graphics, Inc May 2012 - Aug 2012Member of a team of four in summer 2012 overseeing production, installation, subcontracting, and client relations for both KeyBank and Suntrust ATM accounts. Placed in the field as part of multiple bank conversions.
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Project ManagerArchitectural Graphics, Inc May 2011 - Aug 2011Part of team of three working to ensure that 4500 dealer locations removed all on-site signage associated with discontinued brands.
Chris Rohde Skills
Chris Rohde Education Details
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Juris Doctor (J.D.) -
History
Frequently Asked Questions about Chris Rohde
What company does Chris Rohde work for?
Chris Rohde works for Earley Business Legal
What is Chris Rohde's role at the current company?
Chris Rohde's current role is Associate.
What is Chris Rohde's email address?
Chris Rohde's email address is cr****@****rge.com
What is Chris Rohde's direct phone number?
Chris Rohde's direct phone number is +175781*****
What schools did Chris Rohde attend?
Chris Rohde attended University Of Richmond School Of Law, Virginia Tech.
What are some of Chris Rohde's interests?
Chris Rohde has interest in Private Equity, Start Ups, Skiing, Traveling, Corporate Law, Mergers And Acquisitions, Securities, History.
What skills is Chris Rohde known for?
Chris Rohde has skills like Research, Legal Writing, Public Speaking, Editing, Microsoft Office, Legal Research, Corporate Law, Securities Regulation, Corporate Governance, Powerpoint, Nonprofits, Contract Negotiation.
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Chris Rohde
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Chris Rohde
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Chris Rohde
Portland, Or2chriskaki.com, autodesk.com -
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