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@bellsouth.net
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James Dicus is listed as Financial Services Professional based in Alpharetta, Georgia, United States. AeroLeads shows a work email signal at bellsouth.net and a matched LinkedIn profile for James Dicus.
James Dicus previously worked as Analyst II at Tce Incorporated and Advertising Compliance Manager at Aig Advisor Group. James Dicus holds Bachelor Of Science, Finance from University Of New Orleans.
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Experienced in the review of corporate records; and, the documentation of violations involving consumer protection regulations .Specialties: Previous Securities Licenses – Series 3 (Commodity Futures); Series 4 (Options Principal); Series 7 (General Securities Representative); Series 24 (General Securities Principal); Series 53 (Municipal Securities Principal); Series 66 (Uniform Combined State Law Exam)
Listed skills include Auditing, Responsibility, Regulations, .Net, and 50 others.
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Previous Securities Licenses - Series 3, 4, 7, 24, 52, 53, & 66; Contracted to the U.S. Department of Labor (DOL), Office of Foreign Labor Certification (OFLC) Conducted the initial review of applications for permanent labor certification (Green Card)Performed a comprehensive review of documentation submitted for audited applicationsRecommended and.
Reviewed 400 to 500 separate submissions of advertising and sales literature per monthSupervised two advertising analysts, and one administrative person Maintained submission statistics for 1,600 independent registered representatives & investment advisors utilizing firm's proprietary advertising softwareConducted by-weekly staff meetings to maintain.
Reviewed and suggested amendments to clients written supervisory procedures with particular emphasis on anti-money laundering, Sarbanes-Oxley and rules of the Municipal Securities Rulemaking BoardConducted sales practice reviews and presented findings along with suggested disciplinary actions to the Board of DirectorsPrepared and conducted annual.
Supervised six Registered Principals / OSJ? Supervisors and provided compliance support for a sales force of 100+ independent contractorsAnalyzed daily exception reports from the firm's two clearing entities and determined the course of action to rectify any problems notedConducted branch office reviews on branches involved in financial advisory and hedge.
Conducted routine examinations of securities broker dealers to determine compliance with Federal and self-regulatory rules and regulationsReconciled firm trial balance figures to the general ledger and independent supporting documentation, making appropriate adjustmentsPrepared independent Net Capital, Aggregate Indebtedness and Reserve.
Analyzed the investment needs of financial institutions and provided fixed income products to complement their current portfolio Investment products included U.S. Treasury and Agency securities, mortgage and asset backed securities, corporate and municipal debt and asset and liability management computing solutionsCoordinated with the firm's trading desk.
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James Dicus is listed as Financial Services Professional.
AeroLeads has found 1 work email signal at @bellsouth.net for James Dicus.
James Dicus is based in Alpharetta, Georgia, United States.
James Dicus has worked for Tce Incorporated, Aig Advisor Group, James Dicus Consulting, Pan-American Financial Advisors, Inc, and Nasd, Inc.
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James Dicus holds Bachelor Of Science, Finance from University Of New Orleans.
James Dicus is listed with skills including Auditing, Responsibility, Regulations, .Net, Customer Communication, Consulting, Major Areas, and Anti Money Laundering.
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