John Chitwood

John Chitwood Email and Phone Number

Regional Vice President - Osaic @ Osaic
John Chitwood's Location
Phoenix, Arizona, United States, United States
John Chitwood's Contact Details

John Chitwood personal email

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About John Chitwood

John Chitwood is a Regional Vice President - Osaic at Osaic.

John Chitwood's Current Company Details
Osaic

Osaic

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Regional Vice President - Osaic
John Chitwood Work Experience Details
  • Osaic
    Regional Vice President - Supervision
    Osaic Sep 1999 - Present
    First Line supervisory responsibilities for all Managing Executives (ME) and OSJ managers in the Western Region. Charged with maintaining an ongoing relationship to help educate, guide and assist them with their compliance responsibilities. Help to promote company supervisory practices, follow up on audit findings and proactively address potential compliance issues in order to minimize risk to the client, the advisor and the firm.
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  • Sagepoint Financial, Inc.
    Regional Director - Supervision
    Sagepoint Financial, Inc. Jun 2012 - Sep 2013
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  • Sagepoint Financial, Inc.
    Compliance - Advertising
    Sagepoint Financial, Inc. Jan 2010 - Jun 2012
    Review of marketing material to ensure compliance with FINRA, SEC & MSRB rules. Specialties include website and social media compliance, advisor consultations to provide guidance in marketing products, strategies and services while remaining compliant with industry regulations.
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  • Aig Financial Advisors
    Compliance - Surveillance Team Lead / Options Principal
    Aig Financial Advisors Sep 2007 - Dec 2010
    Phoenix, Arizona
    Responsible for the day-to-day oversight of Surveillance Analysts and their activities, including managing the department workflow, ongoing training in surveillance procedures, product training. Resonsible for oversight on: stocks, mutual funds, variable annuities, REITS, and excessive trading. As the Compliance Registered Option Principal, was responsible for the overall compliance with securities laws and regulations as they relate to options
  • Aig Sunamerica
    Senior Equity Trader
    Aig Sunamerica Aug 1999 - Sep 2007
    Phoenix, Arizona
    Oversaw day-to-day operations of the trade desk including; received trading processed equity and mutual fund trades, reviewed trades for accuracy and corrected errors. Acting as the ROP, oversaw the trade desk and options activity ranging form the review and approval of accounts to maintaining option reports.

John Chitwood Education Details

Frequently Asked Questions about John Chitwood

What company does John Chitwood work for?

John Chitwood works for Osaic

What is John Chitwood's role at the current company?

John Chitwood's current role is Regional Vice President - Osaic.

What is John Chitwood's email address?

John Chitwood's email address is jh****@****aol.com

What is John Chitwood's direct phone number?

John Chitwood's direct phone number is (866) 849*****

What schools did John Chitwood attend?

John Chitwood attended University Of California, Santa Barbara.

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