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Stephen M. is listed as Financial Industry Professional at Charles Schwab Bank, based in Roanoke, Texas, United States. AeroLeads shows a matched LinkedIn profile for Stephen M..
Stephen M. previously worked as Director, Credit Analysis, Pledged Assets at Charles Schwab Bank and Managing Partner/CCO/COO at Ascentia Capital Partners. Stephen M. holds Bs, Finance And Marketing from University Of Southern California.
Financial industry professional with over 40 years of experience in a wide variety of aspects of financial services including operations, compliance, administration, sales, marketing, business development and client relations. Extensive knowledge of 40-Act compliance issues related to registered investment products and registered investment advisors.
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Westlake, TX
Director for Pledged Asset Line (PAL) program.Senior Manager with direct supervision of Pledged Asset Lines (PAL), high net worth consumer loan portfolios collateralized by brokerage securities. Key oversight responsibilities include loan origination review, collateral review and maintenance monitoring with full overall decision-making authority..
Reno, Nevada
Served as Managing Partner for independent Registered Investment Advisor (RIA) specializing in alternative strategy portfolios (equities, fixed income, mutual funds, ETFs, etc.). Spearheaded the launch of the Alternative Strategies Mutual Fund, a unique 40-Act mutual fund comprised of institutional hedge fund managers and strategies, one of the first of.
Reno, NV
Member of Board of Directors and Executive Committee. Served as National Sales Director and former Chief Operations Officer and Chief Compliance Officer. Generated rapid business development and growth of assets for quantitative investment firm nationwide. Supervised Operations, Sales and Marketing staff while growing firm assets from a few hundred million.
San Francisco, CA
Divisional Operations and Compliance Officer with direct supervision of over 30 retail branch offices throughout the Western United States.
San Francisco, CA
Operations and Compliance Manager for discount brokerage firm (formerly CD Anderson).
Part of a small group of founding employees of highly successful investment advisory firm (formerly University Securities). Developed trading desk and supervised equity and fixed income trading operations.
Activities and Societies: Kappa Alpha Order, Deans List, Baseball Team
Graduate Dean's List of University Scholars and Artists
Quick answers generated from the profile data available on this page.
Stephen M. works for Charles Schwab Bank.
Stephen M. is listed as Financial Industry Professional at Charles Schwab Bank.
Stephen M. is based in Roanoke, Texas, United States while working with Charles Schwab Bank.
Stephen M. has worked for Charles Schwab Bank, Ascentia Capital Partners, Navellier & Associates, Shearson Lehman Brothers, and Security Pacific Brokers.
You can use AeroLeads to view verified contact signals for Stephen M. at Charles Schwab Bank, including work email, phone, and LinkedIn data when available.
Stephen M. holds Bs, Finance And Marketing from University Of Southern California.
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