Lon N.

Lon N. Email and Phone Number

Senior Associate Vice President in Compliance @ Wells Fargo
san francisco, california, united states
Lon N.'s Location
Phoenix, Arizona, United States, United States
About Lon N.

Extensive Skills in Compliance, Finance, Financial Analysis, Banking, Investments, Microsoft Office ( Pivot tables), SQL etc... for Small, Mid-Size, & and Large Businesses across the United States. Obtained an MBA degree focused in Finance from Grand canyon University. Obtained series 7, series 66, series 63, series 9, series 10, and series 23. Series 9,10 and Series 66 is equivalent to series 24. Currently working towards getting the series 27 and being sponsered for CAMS as well as CRCM. Monthly analyze, review, create and submit filings to FINRA for firm. Regularly draft and implement new policies and procedures for firm. Quick learner who has passed all tests on first attempt and regualry has capacity to take on special projects due to efficency. Ability to work well independantly and with team.

Lon N.'s Current Company Details
Wells Fargo

Wells Fargo

View
Senior Associate Vice President in Compliance
san francisco, california, united states
Website:
wellsfargo.com
Employees:
246787
Lon N. Work Experience Details
  • Wells Fargo
    Corporate Risk Senior Test Analyst
    Wells Fargo Sep 2022 - Present
    Phoenix, Arizona, United States
  • The Advisor Group
    Investment Advisor Compliance Analyst
    The Advisor Group 2021 - Present
    Remote
  • The Advisor Group
    Regional Field Supervision Compliance Analyst
    The Advisor Group May 2017 - Present
    Phoenix, Arizona Area
  • Charles Schwab
    Risk Analyst
    Charles Schwab Aug 2009 - May 2017
  • Rbc
    Financial Analyst
    Rbc Mar 2008 - Apr 2009
    Phoenix, Arizona Area
  • Vanguard
    Senior Stockbroker
    Vanguard Oct 2005 - Mar 2008
    Phoenix, Arizona Area

Lon N. Education Details

Frequently Asked Questions about Lon N.

What company does Lon N. work for?

Lon N. works for Wells Fargo

What is Lon N.'s role at the current company?

Lon N.'s current role is Senior Associate Vice President in Compliance.

What schools did Lon N. attend?

Lon N. attended Grand Canyon University, Asu.

Who are Lon N.'s colleagues?

Lon N.'s colleagues are Monica Baker, Cindy Koxvold, Matthew Hopkins, Rosalinda Lycett, Shashikanth Kothapalli, Kevin Polio, Sheila Bittner.

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