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@ipgsd.com
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Darius Lashkari is listed as Chief Compliance Officer at Investment Placement Group at Investment Placement Group, a company with 38 employees, based in San Diego, California, United States. AeroLeads shows a work email signal at ipgsd.com, phone signal with area code 954, 404, and a matched LinkedIn profile for Darius Lashkari.
Darius Lashkari previously worked as Chief Compliance Officer at Investment Placement Group and CCO / POO AMLCO Director of Compliance at Andbanc Brokerage Llc And Andbanc Advisory Llc. Darius Lashkari holds Bachelor Of Arts, Urban Studies, 3.3 from City University Of New York / Queens College.
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AeroLeads found 1 current-domain work email signal for Darius Lashkari. Compare company email patterns before reaching out.
Experienced Chief Executive OfficerExperienced Chief Compliance OfficerExperienced AML Compliance Officer Experienced Principal Operations Officer Providing Supervision of broker dealers, RIA’s, wealth management firms, trust departments/trust banks, and insurance agencies, Experienced in starting up financial services firms, RIA's, and insurance agencies.OCC Regulation ‘Title 9’ for national bank trust departments.Experienced in broker-dealer firm closures. **CLEAN U4**Current FINRA Registrations: FINRA Series 4 – Registered Options PrincipalFINRA Series 7 – General Securities RepresentativeFINRA Series 9 – General Securities Options Sales SupervisorFINRA Series 10 – General Securities Branch Office Manager & Sales SupervisorFINRA Series 14 - Compliance Officer FINRA Series 24 – General Securities PrincipalFINRA Series 26 - Mutual Funds PrincipalFINRA Series 27 – Principal Operations Officer and Financial and Operations Principal
Listed skills include Securities, Financial Services, Finra, Banking, and 46 others.
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San Diego County, California, United States
Chief Compliance Officer and AML Compliance Officer, overseeing the entire compliance program for the SEC registered Investment Adviser and FINRA member Broker-Dealer.Duties include management of the Firm’s operations department, documentation control department, corporate functions, regulatory guidance, and risk management.
Miami/Fort Lauderdale Area
Oversee and manage all aspects of compliance for the broker dealer and investment advisory firmOversees, reviews, updates, enforces the internal policies and procedures of the broker-dealers written supervisory procedures and operational processes.Conducts internal audits to identify areas of compliance vulnerability and risk. Develops and implements.
Sunny Isles Beach
Regulatory Compliance Support and Consulting for Investment Advisory firms, Broker-dealers, and HedgeFunds.
Miami/Fort Lauderdale Area
Started-up broker dealer (SEC, FINRA, MSRB approvedCreated and oversees the firm’s Anti-Money Laundering programCreated and oversees the firm’s CIP/KYC program. Responsible for SAR review and filing.Oversees, reviews, updates, and implements the broker-dealer’s internal Anti-Money Laundering policies and procedures.Oversees, reviews, updates, enforces the.
Orlando, Florida Area
Co-Founder and member of the firm’s Investment Policy Committee.Co-Founder and member of the firm’s Audit & Compliance Committee.Co-Founder and member of the firm’s IT Compliance CommitteeDual employee of Raymond James Financial Services on compliance and operationsEnsured compliance with OCC Regulation 9. Responsible for all annual client administrative.
Orlando, Florida Area
Handled Sarbanes Oxley Certification Reporting for Central FL investment services division. Managed all registered and unregistered sales associates in Central Florida. Managed budgets, reviewed payroll, ensured compliance with account activity
Greater New York City Area
Provided final resolution to escalated account discrepancy related to interest income, interest expenses (margin interest), and financing rate deals with high net worth clientele and institutional clientele. Worked daily with Stock Loan, Private Client Services, BSSC President, Prime Brokerage Managing Directors, Senior Directors of Trading (Muni Desk.
Greater New York City Area
Monitored client account trading activity to ensure suitability with investment objectives. Served as compliance manager and supervisory principal to department of 35 registered representatives.
Great Neck, NY
Overall operational and administrative support to the 7th highest revenue producing financial advisor in the firm.
Other employees you can reach at investipg.com. View company contacts for 38 employees →
Alex Simcock, Cfa
Colleague at Investment Placement GroupSan Diego Metropolitan Area, United States
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EC
Elizabeth Celaya Limon
Colleague at Investment Placement GroupChula Vista, California, United States, United States
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MC
Mar Celaya
Colleague at Investment Placement GroupSan Diego County, California, United States, United States
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MR
Marc Russo
Colleague at Investment Placement GroupSan Diego County, California, United States, United States
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RD
Rodrigo De La Garza
Colleague at Investment Placement GroupGreater Houston, United States
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AG
Adrian Gonzalez
Colleague at Investment Placement GroupSan Diego, California, United States, United States
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LC
Larissa Ceron
Colleague at Investment Placement GroupMiami-Fort Lauderdale Area, United States
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GJ
Guillermo Jose Fernandez
Colleague at Investment Placement GroupSan Diego, California, United States, United States
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FJ
Francisco Javier Arrangoiz
Colleague at Investment Placement GroupMiami, Florida, United States, United States
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RH
Rocio Harb
Colleague at Investment Placement GroupMiami, Florida, United States, United States
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Quick answers generated from the profile data available on this page.
Darius Lashkari works for Investment Placement Group.
Darius Lashkari is listed as Chief Compliance Officer at Investment Placement Group at Investment Placement Group.
AeroLeads has found 1 work email signal at @ipgsd.com for Darius Lashkari at Investment Placement Group.
AeroLeads has found 2 phone signal(s) with area code 954, 404 for Darius Lashkari at Investment Placement Group.
Darius Lashkari is based in San Diego, California, United States while working with Investment Placement Group.
Darius Lashkari has worked for Investment Placement Group, Andbanc Brokerage Llc And Andbanc Advisory Llc, Source Regulatory Consulting Llc, Cgis Securities Llc And Cgis Advisors Llc, and Seaside National Bank & Trust/Seaside Capital Mgmt/ Raymond James Fin Svcs.
Darius Lashkari's colleagues at Investment Placement Group include Alex Simcock, Cfa, Elizabeth Celaya Limon, Mar Celaya, Marc Russo, and Rodrigo De La Garza.
You can use AeroLeads to view verified contact signals for Darius Lashkari at Investment Placement Group, including work email, phone, and LinkedIn data when available.
Darius Lashkari holds Bachelor Of Arts, Urban Studies, 3.3 from City University Of New York / Queens College.
Darius Lashkari is listed with skills including Securities, Financial Services, Finra, Banking, Series 7, Investments, Wealth Management, and Risk Management.
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