Dan Hughes Email & Phone Number

Currently manage a team of Supervisory Analysts covering a department with 50+ publishing research analysts covering 950+ equity issuers. Coordinate the assignment and tracking of equity research analyst vetting and due diligence related activities as it relates to investment banking transactions. Conduct ad hoc training where necessary and responsible for the development and implementation of policies and procedures for the department. Over 20 years of experience in Research, Capital Markets and Investment Banking at Wells Fargo Securities and its predecessors. Extensive knowledge of FINRA communications regulations including 2210, 2241 and 2242, SEC Regulation Analyst Certification and managing firm conflicts of interest including the "Global Research Settlement". Led and coordinated multiple regulatory exams, internal audits and inquiries. Developed policies and procedures for research and investment banking activities, an extensive surveillance program, ongoing risk and control assessments and conflict and issue identification and mitigation activities. Licenses - Series 7, 16, 24, 79TO and 99TO

Listed skills include Banking, Risk Management, Securities, Mortgage Banking, and 3 others.

• 

  James Madison University - College Of Business

  Finance, General