Allen Holeman Email & Phone Number
Chief Compliance Officer @ David Lerner Associates, Inc.
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Allen Holeman Location
- New York, NY, US
Allen Holeman Work
- Chief Compliance Officer @ (November 2013 - Present)
- Consultants to the Financial Services Industry @ Compliance Lifeline LLC (December 2014 - Present)
- Chief Compliance Officer @ Oppenheimer & Co. Inc. (July 2003 - April 2013)
- Chief Compliance Officer @ Bear Stearns (January 2000 - January 2003)
- Chief Compliance Officer and Regulatory Affairs Officer @ Tucker Anthony (January 1995 - January 2000)
- Director of Compliance @ Oppenheimer & Co., Inc. (July 1980 - June 1993)
- Compliance Manager @ E F Hutton & Co (June 1966 - July 1980)
Allen Holeman Education
- Baruch College, City University of New York (CUNY)
Bachelor of Business Administration (Accounting)
Allen Holeman Skills
- Securities
- FINRA
- AML
- Capital Markets
- Securities Regulation
- Equities
- Hedge Funds
- Series 24
- Series 7
- Fixed Income
- Mutual Funds
- Alternative Investments
- USA PATRIOT Act
- Financial Services
- Asset Management
- Anti Money Laundering
- Broker-Dealer
- Options
- Investment Advisory
- Series 63
- Financial Regulation
- Corporate Governance
- OFAC
- KYC
- Investment Banking
- Prime Brokerage
- Investment Management
- Series 65
- ETFs
- Private Equity
- Bank Secrecy Act
- Financial Institutions
- Private Placements
- Equity Trading
- SEC
- Leadership
- Public Speaking
- Regulatory Affairs
- Strategic Planning
- Compliance
- Entrepreneurship
- Customer Service
- Broker Dealer
- Research
- Creative Direction
- Advertising
- Business Development
- Business Strategy
- Financial Analysis
Allen Holeman Summary
- Allen Holeman, based in New York, NY, US, is currently a Chief Compliance Officer at David Lerner Associates, Inc.. Allen Holeman brings experience from previous roles at Compliance Lifeline LLC, Oppenheimer & Co. Inc., Bear Stearns and Tucker Anthony. Allen Holeman holds a Bachelor of Business Administration in Accounting @ Baruch College, City University of New York (CUNY). With a robust skill set that includes Securities, FINRA, AML, Capital Markets, Securities Regulation and more. Allen Holeman has 3 mobile phone numbers on RocketReach.
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