Dwayne Burns Email & Phone Number

Miami/Fort Lauderdale Area

• Fostered and preserved ongoing relationships with high-net-worth individuals to address asset allocation, portfolio analysis, financial planning and budgeting.
• Optimized document retention procedures and client onboarding process to ensure adequate regulatory compliance procedures and cybersecurity risk measures were maintained.
• Conducted quarterly account reviews with all clients in order to assess their progress and make necessary changes as well as discover opportunities and address other financial service needs.

Tallahassee, Florida

• Performed on-site investigative business audits of associated persons of broker-dealers and investment advisors to ensure compliance with Chapter 517 Florida Statutes, FINRA, and SEC rules.
• Inspected firm disclosure information to include criminal history, disciplinary disclosures and supporting documents to determine if additional review is warranted for enforcement purposes.
• Trained new Level I analysts and reviewed work performed to ensure understanding of procedures for registration processing.
• Advised senior management on recommended disciplinary action plan based on an evaluation of audit report risks.

Tallahassee, Florida

• Analyzed pending applications from associated persons of financial firms seeking securitiesregistration in Florida to identify existing deficiencies deterring further processing.
• Interpreted and applied regulations outlined in Chapter 517, Florida Statutes and the Florida Administrative Code to applications for securities registration.
• Communicated to firms and applicants outstanding requirements and action needed to ensure compliance and facilitate application processing.

Bachelor'S Degree, Economics And Finance

Activities and Societies: W.E.B. Dubois Honor Society, Phi Eta Sigma National Honor Society• Graduated Cum Laude

High School