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@wellsfargoadvisors.com
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Sharon Griffith is listed as Field Support Governance Specialist at Wells Fargo Advisors at Wells Fargo Advisors, a company with 15127 employees, based in Brooklyn, New York, United States. AeroLeads shows a work email signal at wellsfargoadvisors.com and a matched LinkedIn profile for Sharon Griffith.
Sharon Griffith previously worked as Supervisory Control Associate at Wells Fargo Advisors and Branch Office Manager at Shufro, Rose & Co., Llc. Sharon Griffith holds Associate'S Degree from Borough Of Manhattan Community College.
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AeroLeads found 1 current-domain work email signal for Sharon Griffith. Compare company email patterns before reaching out.
I am an experienced branch manager and compliance professional with knowledge of Investment Advisers Act of 1940, and FINRA Rules. Specializing in broker/dealer and investment advisory compliance. Expertise in trade surveillance, supervision, AML and internal policies and procedures. Experienced in on-boarding clients, overseeing operational functions as well as developing, writing and implementing policies and procedures to ensure compliance with firm rules and industry regulations. Excel at developing strong working relationships.Strengths: Excellent communicator Highly organized Detail oriented Strong interpersonal skills Natural ability to multi-task Strong negotiating skills Solution minded Project ManagementCollaborative rapport with Executive Management and team-membersPlease contact me by e-mail Sharon.Griffith@wellsfargoadvisors.com or by phone at 212-205-2935. I cannot respond to messages through LinkedIn.Investment and Insurance Products are: * Not Insured by the FDIC or Any Federal Government Agency * Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate * Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company. Opinions and comments do not necessarily represent the views of our firm. Additional guidelines can be found on wfa.com/social This information is intended for use by residents of NJ & NY only.
Listed skills include Management, Risk Management, Financial Analysis, Finance, and 6 others.
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New York City Metropolitan Area
Responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings to the Market/Complex Admin Manager on a daily basis. Works with the Market/Complex Admin Manager to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory.
New York, NY
Served as primary supervisor of trades, account opening, customer communications, and asset movements. Managed compliance, operational and administrative support personnel and coordinated all compliance and operational activities with 3rd party broker-dealer for PM for non-discretionary accounts. Prepared materials and assisted with presenting annual.
Greater New York City Area
New York, NY
Other employees you can reach at wellsfargoadvisors.com. View company contacts for 15127 employees →
Sean Mest
Colleague at Wells Fargo AdvisorsConshohocken, Pennsylvania, United States, United States
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Tom Lennartz
Colleague at Wells Fargo AdvisorsGreater St. Louis, United States
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Marc Prda
Colleague at Wells Fargo AdvisorsArlington, Texas, United States, United States
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Ross Azzarella
Colleague at Wells Fargo AdvisorsNewport Beach, California, United States, United States
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Alyssa Martin
Colleague at Wells Fargo AdvisorsGreater St. Louis, United States
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Cheryl Orvis
Colleague at Wells Fargo AdvisorsGrand Rapids Metropolitan Area, United States
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Traci Chilton
Colleague at Wells Fargo AdvisorsChina Grove, North Carolina, United States, United States
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Kristain Morris
Colleague at Wells Fargo AdvisorsRandleman, North Carolina, United States, United States
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Chantell Ballesteros Amezcua
Colleague at Wells Fargo AdvisorsChula Vista, California, United States, United States
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Patrick Buschmohle, Jr.
Colleague at Wells Fargo AdvisorsUnited States, United States
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Quick answers generated from the profile data available on this page.
Sharon Griffith works for Wells Fargo Advisors.
Sharon Griffith is listed as Field Support Governance Specialist at Wells Fargo Advisors at Wells Fargo Advisors.
AeroLeads has found 1 work email signal at @wellsfargoadvisors.com for Sharon Griffith at Wells Fargo Advisors.
Sharon Griffith is based in Brooklyn, New York, United States while working with Wells Fargo Advisors.
Sharon Griffith has worked for Wells Fargo Advisors, Shufro, Rose & Co., Llc, Bear Stearns Seurities Corp, and Bank Of America.
Sharon Griffith's colleagues at Wells Fargo Advisors include Sean Mest, Tom Lennartz, Marc Prda, Ross Azzarella, and Alyssa Martin.
You can use AeroLeads to view verified contact signals for Sharon Griffith at Wells Fargo Advisors, including work email, phone, and LinkedIn data when available.
Sharon Griffith holds Associate'S Degree from Borough Of Manhattan Community College.
Sharon Griffith is listed with skills including Management, Risk Management, Financial Analysis, Finance, Investments, Customer Service, Financial Services, and Asset Management.
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