Christopher Hufty Email & Phone Number

• Perform on-site and remote inspections on registered broker dealers and investment advisors to ensure compliance with the Texas Securities Act.• Assisted on a multi-state investigative team uncovering a $1.8 billion Ponzi-like scheme.• Analysis of documents and financial records obtained from inspections to determine compliance with applicable laws, statutes, and rules.• Review regulatory filings made by registered broker dealers and investment advisors.• Investigation of complaints filed against registered broker dealers, broker dealer agents, investment advisors, and investment advisor representatives.

Tallahassee, Florida

• Work in compliance with State regulations to approve applications of broker dealers, broker dealer agents, investment advisors, and investment advisor representatives.• Review applications to ensure all applicants are in compliance with Florida Statute Chapter 517 and FINRA/SEC regulations.• Prepare written reports detailing any deficiencies found in applications and the corresponding solutions.• Maintain an extensive knowledge of the constantly updating rules and regulations of the Florida Office of Financial Regulation, FINRA, and the SEC.

Tallahassee, Florida Area

• Reference lesson plan left by lead teacher and ensure that appropriate measures are taken to follow it• Ensure that classroom instruction is handled according to the school’s policies, goals and objectives• Establish and maintain classroom behavior and order• Make sure that a non-discriminatory atmosphere is maintained in classrooms• Create substitute teaching / instruction report at the end of each day and deliver to school administrative staff.

Tallahassee, Florida Area

• Assistant Varsity coach of the Leon High School Flag Football team• Head Junior Varsity coach of the Flag Football Team

Tallahassee, Florida Area

• In charge of marketing and getting students signed up for the various sports held at Tallahassee Community College• Organize, set up, and referee all sports.• Maintain the facilities used for intramural sports and campus recreation.• Supervise Weight Room• Organize campus intramural fields• Supervise Basketball Gym

Tallahassee, Florida Area

• Assisted in planning all events held by the office of Campus and Civic Engagement.• Supervised groups of 6 – 10 Work Study students• Performed interviewing and hiring of work study students at the beginning of each semester.• Planned work schedules and tracked hours ensuring work study students performed their allotted hours for financial aid.• Assigned daily tasks to work study students ensuring the Student Union was well maintained for the students and faculty of Tallahassee Community College.• Organized and maintained all of the department’s storage facilities

Tallahassee, Florida Area

• Work all events held by the Campus Life Departmento Concertso Student Organization Fairo Student Faculty day• Set up for events and club meetings held in the Student Union Ballroom as well as other meeting rooms located in the Student Union• Work with various student organizations and clubs to assist them with their meetings and events.• Cover the front desk for the receptionist

Tallahassee, Florida Area

• Performed investigations involving abuse, neglect, and exploitation of elders with senior Adult Protective Investigators.• Direct assistant to the supervisor of Adult Investigations involved in organizing and classifying every case conducted since 2013.• Investigated collateral contacts involved in cases to gather information for senior investigators.• Ensured complete documentation into the DCF database systems, (FSFN Florida Safe Families Network), for case records.• Performed field investigations with Senior Investigators to verify case accusations and evidence.

Bachelor’S Degree, Criminology

Associate’S Degree, Criminal Justice

High School