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Stuart Simpson is listed as Compliance Director - Equity Sales and Trading at Stifel Financial Corp., a company with 5 employees, based in Nashville, Tennessee, United States. AeroLeads shows a work email signal at stifel.com and a matched LinkedIn profile for Stuart Simpson.
Stuart Simpson previously worked as Senior Compliance Analyst at Stifel Financial Corp. and Senior Regulatory Analyst at Finra. Stuart Simpson holds Bs, Finance/Economics from Lipscomb University.
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AeroLeads found 1 current-domain work email signal for Stuart Simpson. Compare company email patterns before reaching out.
Stuart Simpson is a Compliance Director - Equity Sales and Trading at Stifel Financial Corp.. He possess expertise in series 7, series 63, equity trading, oats, securities regulation and 5 more skills.
Listed skills include Series 7, Series 63, Equity Trading, Oats, and 6 others.
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A career timeline built from the work history available for this profile.
St. Louis, MO, US
Lead a team responsible for all aspects of equity sales and trading compliance across two broker dealer platforms including retail and institutional clients. Oversee reviews including best execution, SEC Rule 605 and 606, short sale obligations, trade advertising, trade and audit trail reporting. Work closely with traders and the heads of business units to.
St. Louis, MO, US
Responsible for supporting and advising the equity trading and sales desk, regarding all related rules and regulations. Conducted reviews of trading activity, responded to regulatory inquiries and requests and develop supervisory procedures.
Washington, District Of Columbia, US
Senior Regulatory Analyst, Market Quality Group – October 2013 to July 2015Reviewed firm compliance with multiple FINRA rules concerning equity trade reporting in areas such as trading halts, advertisement of trading volumes, Limit Up-Limit Down (LULD), reporting on the Alternative Display Facility (ADF), TRF Trade Reporting, SEC Rules 605 and 606.
Birmingham, Alabama, US
Assisted high net worth and private banking clients in choosing the best banking and investment options. Offered stocks, bonds, mutual funds, and other investments through Morgan Keegan.
Conducted financial needs analysis and recommended appropriate products including mutual funds, stocks, bonds, 529 plans, and life, long term care, and disability insurance.
US
Oversaw trading of 230 banks, insurance companies and financial institutions. Built strong relationships with company management teams and institutional investors. Solicited and transacted business with institutional trading accounts as well as company buyback business.
St. Petersburg, Florida, US
Oversaw trading of numerous sectors including telecom, technology, healthcare and biotech. Facilitated trading for institutional and retail accounts. Tested new trading systems and helped train other traders in their use.
NASDAQ Liaison – July 1998 to June 2000Facilitated communication between traders, other firms, and retail sales force. Educated retail brokers on market regulations. Provided back up support for position and agency traders. Fixed Income Intern – December 1996 – July 1998Booked customer trades in fixed income securities. Balanced daily trade blotters and.
Other employees you can reach at stifel.com. View company contacts for 5 employees →
John Foley
Colleague at Stifel Financial Corp.
Hauppauge, New York, United States, United States
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Greg Feldberg
Colleague at Stifel Financial Corp.
Greater St. Louis, United States
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Frederick Lanch
Colleague at Stifel Financial Corp.
London, England, United Kingdom, United Kingdom
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RE
Ray Edwards
Colleague at Stifel Financial Corp.
Greater St. Louis, United States, United States
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Andrew Grahn
Colleague at Stifel Financial Corp.
Greater St. Louis, United States
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Bailey M.
Colleague at Stifel Financial Corp.
Montclair, New Jersey, United States, United States
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KB
Keita Buckner
Colleague at Stifel Financial Corp.
Greater St. Louis, United States
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Ramiro Rodriguez
Colleague at Stifel Financial Corp.
Herndon, Virginia, United States, United States
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CB
Chris Bybee, Cfp®
Colleague at Stifel Financial Corp.
Greater Wichita Falls, Texas Area, United States
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SJ
Sara Jankowski
Colleague at Stifel Financial Corp.
Crown Point, Indiana, United States, United States
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Quick answers generated from the profile data available on this page.
Stuart Simpson works for Stifel Financial Corp..
Stuart Simpson is listed as Compliance Director - Equity Sales and Trading at Stifel Financial Corp..
AeroLeads has found 1 work email signal at @stifel.com for Stuart Simpson at Stifel Financial Corp..
Stuart Simpson is based in Nashville, Tennessee, United States while working with Stifel Financial Corp..
Stuart Simpson has worked for Stifel Financial Corp., Finra, Regions Bank/Morgan Keegan, Innovative Financial Group/John Hancock, and Ftn Midwest Securities Corp.
Stuart Simpson's colleagues at Stifel Financial Corp. include John Foley, Greg Feldberg, Frederick Lanch, Ray Edwards, and Andrew Grahn.
You can use AeroLeads to view verified contact signals for Stuart Simpson at Stifel Financial Corp., including work email, phone, and LinkedIn data when available.
Stuart Simpson holds Bs, Finance/Economics from Lipscomb University.
Stuart Simpson is listed with skills including Series 7, Series 63, Equity Trading, Oats, Securities Regulation, Series 55, Compliance, and Equities.
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