Harold G. Chaffee, Cfa

Harold G. Chaffee, Cfa Email and Phone Number

Chief Compliance Officer @ NewEdge Capital Group
Harold G. Chaffee, Cfa's Location
Boca Raton, Florida, United States, United States
Harold G. Chaffee, Cfa's Contact Details

Harold G. Chaffee, Cfa personal email

n/a

Harold G. Chaffee, Cfa phone numbers

About Harold G. Chaffee, Cfa

An experienced compliance professional with a proven history of establishing, implementing, and testing compliance policies and procedures for broker-dealers, investments advisers, and funds.

Harold G. Chaffee, Cfa's Current Company Details
NewEdge Capital Group

Newedge Capital Group

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Chief Compliance Officer
Website:
newedgecapitalgroup.com
Employees:
60
Harold G. Chaffee, Cfa Work Experience Details
  • Newedge Capital Group
    Newedge Capital Group
    View
  • Osaic
    Deputy Chief Compliance Officer
    Osaic Oct 2023 - Oct 2024
    Scottsdale, Arizona, Us
    View
  • Osaic
    Chief Compliance Officer - Triad Advisors
    Osaic Jun 2022 - Oct 2024
    Scottsdale, Arizona, Us
    View
  • Osaic
    Chief Compliance Officer - American Portfolios Advisors
    Osaic Aug 2024 - Sep 2024
    Scottsdale, Arizona, Us
    View
  • Osaic
    Chief Compliance Officer - Securities America
    Osaic Nov 2021 - Aug 2024
    Scottsdale, Arizona, Us
    View
  • Triad Advisors
    Chief Compliance Officer
    Triad Advisors Jun 2022 - Oct 2024
  • American Portfolios
    Chief Compliance Officer For American Portfolios Advisors
    American Portfolios Aug 2024 - Sep 2024
    Holbrook, Ny, Us
    View
  • Securities America Inc.
    Chief Compliance Officer
    Securities America Inc. Nov 2021 - Aug 2024
    La Vista, Nebraska, Us
    View
  • National Holdings Corporation
    Managing Director, Chief Compliance Officer At National Securities Corporation
    National Holdings Corporation Apr 2019 - Oct 2021
    New York, New York, Us
    Develop, implement, and monitor the compliance program for the broker-dealer. Member of the firm's Risk, Hiring, Heightened Supervision, Product, and Commitment Committees.
    View
  • National Holdings Corporation
    Managing Director, Chief Compliance Officer At National Asset Management, Inc.
    National Holdings Corporation Aug 2018 - Oct 2021
    New York, New York, Us
    Develop, implement, and monitor the compliance program for the investment adviser.
    View
  • Renaissance Regulatory Services, Inc.
    Director Of Compliance Support Services
    Renaissance Regulatory Services, Inc. 2008 - 2018
    Deerfield Beach, Fl, Us
    Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance and operational consulting and outsourcing services to broker-dealers, investment advisers, hedge funds, investment companies, and banks.
    View
  • Triad Advisors, Inc.
    Vice President, Chief Compliance Officer
    Triad Advisors, Inc. 2001 - 2008
    Chief Compliance Officer responsible for design, implementation, and management of compliance program for an independent broker/dealer, investment advisor, and insurance agency with nearly 400 advisors.
  • Federal Reserve Bank Of Atlanta
    Capital Markets Specialist
    Federal Reserve Bank Of Atlanta 1999 - 2001
    Atlanta, Georgia, Us
    Capital Markets Specialist responsible for the examination and ongoing surveillance of capital markets, trading, asset/liability management, and interest rate risk modeling in large southeastern financial institutions.
    View
  • Jc Bradford & Co.
    Vice President, Compliance Officer
    Jc Bradford & Co. 1997 - 1999
    Compliance analyst for twenty-five retail branches (approximately 200 registered representatives) and the Research, Futures, and Retirement Services departments.
  • Finra (Fka Nasd)
    Examiner
    Finra (Fka Nasd) 1995 - 1997
    Washington, District Of Columbia, Us
    Conducted financial, operational, and sales practice examinations of broker/dealers to ensure compliance with NASD and SEC regulations.
    View
  • Securites Consultants, Inc.
    Staff Accountant, Manager
    Securites Consultants, Inc. 1993 - 1995
    Supervised and prepared financial statements and assessment reports for nearly 100 broker/dealer firms nationwide.

Harold G. Chaffee, Cfa Skills

Broker Dealer Compliance Investment Advisor Compliance Securities Regulation Risk Assessment Written Supervisory Procedures Sec And Finra Mock Audits Anti Money Laundering Reviews Registration Services Compliance Risk Management Sec Finra Auditing Banking Securities Capital Markets Finance Mutual Funds Internal Controls Due Diligence Financial Risk Investment Advisory Insurance Financial Advisory Broker Dealer Series 24 Alternative Investments Financial Services

Harold G. Chaffee, Cfa Education Details

  • Florida Atlantic University
    Florida Atlantic University
    Finance

Frequently Asked Questions about Harold G. Chaffee, Cfa

What company does Harold G. Chaffee, Cfa work for?

Harold G. Chaffee, Cfa works for Newedge Capital Group

What is Harold G. Chaffee, Cfa's role at the current company?

Harold G. Chaffee, Cfa's current role is Chief Compliance Officer.

What is Harold G. Chaffee, Cfa's email address?

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What is Harold G. Chaffee, Cfa's direct phone number?

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What schools did Harold G. Chaffee, Cfa attend?

Harold G. Chaffee, Cfa attended Florida Atlantic University.

What skills is Harold G. Chaffee, Cfa known for?

Harold G. Chaffee, Cfa has skills like Broker Dealer Compliance, Investment Advisor Compliance, Securities Regulation, Risk Assessment, Written Supervisory Procedures, Sec And Finra Mock Audits, Anti Money Laundering Reviews, Registration Services, Compliance, Risk Management, Sec, Finra.

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