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@transamerica.com
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Gregory Gendron is listed as SVP of Supervision at Pacific Financial Partners, a company with 16 employees, based in Bryan, Ohio, United States. AeroLeads shows a work email signal at transamerica.com and a matched LinkedIn profile for Gregory Gendron.
Gregory Gendron previously worked as Arbitrator at Finra (Financial Industry Regulatory Authority) and Senior Supervision Analyst at Signator Investors, Inc.. Gregory Gendron holds Bachelor Of Science In Business Administration, Finance from Central Michigan University.
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AeroLeads found 1 current-domain work email signal for Gregory Gendron. Compare company email patterns before reaching out.
Financial Services Professional with extensive experience in supervision and compliance operations, regulatory rule interpretation, internal policy creation, training, and enforcement through previous roles that span 35 + years in the investment industry.Leadership roles as the Chief Compliance Officer and Senior Regional Supervision Manager of several investment-based FINRA Registered Broker/Dealers and Securities and Exchange Commission Registered Investment Advisors.Licenses - Series 3, Series 7, Series 63, Series 24, Series 4, Series 8 (Series 9/10), Series 53, and Series 65 Have worked remotely for 20+ years – self driven, time sensitive project focused, and dependable.Excellent interpersonal skills with a broad base of direct experience in employee oversight and evaluation. Recognized for creativity and adaptability. Possess the mindset to identify and resolve significant supervision and compliance-based issues that could apply to any industry; conviction of ethics with the objectivity and flexibility to look at multiple solutions to problems; and ensure that firm policies and procedures are comprehensive, and appropriate for the associated business model. Strong public speaking, organizational (team building), and consulting/delegation skills.Securities and Investment Advisory Services offered through Royal Alliance Associates, Inc. (RAA), member of FINRA/SIPC. Royal Alliance is separately owned and other entities and/or marketing names, products or services referenced here are independent of Royal Alliance.
Listed skills include Series 7, Mutual Funds, Finra, Securities, and 32 others.
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A career timeline built from the work history available for this profile.
Midwest - Remote
First Line Supervisor for Pacific Financial Partners. Greg's expertise and talent will assist the PFP team at continuing growth in compliance, supervision, and marketing services offered to our financial advisors by primarily acting as the liaison between associated advisors and the broker/dealer-RIA.His wealth of knowledge in the financial service.
Remote
Responsible for hearing and resolving disputed matters between clients, representatives, and firms.
Remote
Oversaw 12 independent marketing units and 650+ registered representatives. Led high-level risk assessments of individuals and developed procedures to implement controls and mitigate risk for impacted parties. Represented the brokerage at corporate conferences. Drove lean implementation initiatives. Identified opportunities for marketing group.
Remote
FINRA Securities Broker/Dealer/SEC Registered Investment Advisor/Insurance – Served as the Regional Manager for 850 of 2,500 total Registered Representatives and 30 Supervising Offices of Supervisory Jurisdiction (OSJ). Advocated a compliance-centric culture by conducting regular office visits, internal audits, special unannounced examinations, group.
Bryan, OH
FINRA Securities Independent Broker/Dealer/SEC Register Investment Advisor/Insurance Agency/BankingResponsible for all compliance functions at the broker-dealer and investment advisor entities. Served as the regulatory contact to the SEC, FINRA, and State Securities Commissions. Responsibilities included:Developing/implementing/monitoring and supervising.
Other employees you can reach at pacificfinancialpartners.com. View company contacts for 16 employees →
Mike Affinito
Colleague at Pacific Financial Partners
Greater Reno Area, United States
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BF
Bill Finnegan
Colleague at Pacific Financial Partners
Oceanside, California, United States, United States
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VA
Vince Affinito
Colleague at Pacific Financial Partners
Lafayette, California, United States, United States
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NW
Nan Wang
Colleague at Pacific Financial Partners
Honolulu County, Hawaii, United States, United States
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LH
Luiz H. Boscardin, Mba, Crps
Colleague at Pacific Financial Partners
Lafayette, California, United States, United States
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CS
Carrie Shreeve
Colleague at Pacific Financial Partners
San Diego County, California, United States, United States
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JC
Jed Chmara
Colleague at Pacific Financial Partners
Lafayette, California, United States, United States
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SK
Sonnie Koko
Colleague at Pacific Financial Partners
Honolulu County, Hawaii, United States, United States
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MS
Mohammad Shahidinejad
Colleague at Pacific Financial Partners
Honolulu, Hawaii, United States, United States
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D"
Danielle "Hoku" Kalama
Colleague at Pacific Financial Partners
Honolulu County, Hawaii, United States, United States
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Quick answers generated from the profile data available on this page.
Gregory Gendron works for Pacific Financial Partners.
Gregory Gendron is listed as SVP of Supervision at Pacific Financial Partners.
AeroLeads has found 1 work email signal at @transamerica.com for Gregory Gendron at Pacific Financial Partners.
Gregory Gendron is based in Bryan, Ohio, United States while working with Pacific Financial Partners.
Gregory Gendron has worked for Pacific Financial Partners, Finra (Financial Industry Regulatory Authority), Signator Investors, Inc., Transamerica Financial Advisors, Inc., and Sky Investments, Inc., A Division Of Sky Bank.
Gregory Gendron's colleagues at Pacific Financial Partners include Mike Affinito, Bill Finnegan, Vince Affinito, Nan Wang, and Luiz H. Boscardin, Mba, Crps.
You can use AeroLeads to view verified contact signals for Gregory Gendron at Pacific Financial Partners, including work email, phone, and LinkedIn data when available.
Gregory Gendron holds Bachelor Of Science In Business Administration, Finance from Central Michigan University.
Gregory Gendron is listed with skills including Series 7, Mutual Funds, Finra, Securities, Investment Advisory, Investments, Series 24, and Series 65.
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