Ralph Magee Email & Phone Number

Glen Allen, VA

Trading Compliance Consultant who has completed the following long-term engagements.➢ Served as Subject Matter Expert in CAT reporting with extensive knowledge or SEC Rule 613➢ Worked with third-party CAT Reporting Agents and consolidation vendors to implement reportingsystems➢ Acted as Share Class Remediation Project lead on multiple engagements to.

Glen Allen, VA

Offering Charted Fishing Services for Bass (includes Smallmouth Bass, Largemouth Bass and Spotted Bass), Catfish (includes Blue Catfish, Flathead Catfish, Channel Catfish and White Catfish) Sunfish, Crappie, Stiffbacks, White Perch, Ring Perch, Yellow Perch, Spot, Croaker, Flounder, Stripers, Rockfish, Grey Trout, Weakfish, Speckled Trout, Puppy Drum.

Glen Allen, VA

Direct report to the Managing Director of Compliance for First Clearing Corporation and the Deputy Director of Compliance for Wells Fargo Advisors. Responsible for the daily monitoring and enforcement of firm guidelines for Fixed Income Trading, redesign and implementations of trade monitoring systems and associate training with an emphasis on product.

In 2007, these activities generated over $81 million in retail sales commission and more than $4.6 million in trading profit for Wachovia Securities. Proven five-year track record of consistent profitability and revenue production. Provided liquidity to the Wachovia’s retail sales force, developed excellent working relationships with financial advisors and.

Ba, Business/Economics

High School Diploma