Brian Dennen Email & Phone Number
Chief Compliance Officer @ Independent Financial Group, LLC
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Brian Dennen Location
- San Diego, CA, US
Brian Dennen Work
- 2024 -now Chief Compliance Officer @
- 2023 -2024 Senior Regulatory Compliance and Financial Operations Professional @
- 2020 -2023 SVP | Finance, Clearing Operations, Risk and Compliance @
- 2016 -2020 Senior Compliance Director, Ally Invest @
- 2012 -2016 Chief Executive Officer, Chief Compliance Officer, FinOp, AMLCO of Wealthfront Brokerage Corporation @
- 2009 -2012 Managing Director, Chief Compliance Officer, FinOp, AMLCO, @
- 2006 -2007 Managing Director, Chief Compliance Officer, FinOp, AMLCO @
- 2004 -2006 Institutional Equity Sales @
- 2002 -2004 Chief Compliance Officer, Controller, and FinOp @ Redwood Trading LLC
- 1999 -2002 Compliance Manager @ Mr. Stock, Inc
Brian Dennen Education
- UC San Diego
Management Science (Management Science, Economics, Accounting, Finance)
Brian Dennen Skills
- Compliance Consulting
- CFTC
- Public Communications
- Financial Reporting
- Securities Exchange Act of 1934
- Securities
- FINRA
- Trading
- Internal and External Communications
- Investment Advisers Act
- External Communications
- Compliance Training
- Accounting
- Equity Derivatives
- Auditing
- Regulatory Filings
- Project Teams
- Professional Services
- Client Delivery
- Brokerage
- Options
- Equities
- Series 7
- Hedge Funds
- Investment Banking
- Financial Advisory
- Investments
- Electronic Trading
- Finance
- Financial Markets
- Series 24
- Derivatives
- Private Equity
- Fixed Income
- Trading Systems
- Asset Allocation
- Portfolio Management
- Investment Advisory
- Alternative Investments
- Equity Trading
- Capital Markets
- Asset Management
- Wealth Management
- Management
- Financial Services
- Leadership
- Start-ups
- Regulatory Compliance
- Compliance Oversight
- Broker-Dealer
- Bank Secrecy Act
- Regulatory Requirements
- Anti Money Laundering
- Internal Controls
- Investment Management
- Public Speaking
- Start Ups
- Process Improvement
- Microsoft Office
- Marketing
- Customer Service
- Project Management
- Broker Dealer
Brian Dennen Summary
- Brian Dennen, based in San Diego, CA, US, is currently a Chief Compliance Officer at Independent Financial Group, LLC. Brian Dennen brings experience from previous roles at Compliance Risk Concepts (CRC), LPL Financial, Ally and Wealthfront Inc.. Brian Dennen holds a Management Science in Management Science, Economics, Accounting, Finance @ UC San Diego. With a robust skill set that includes Compliance Consulting, CFTC, Public Communications, Financial Reporting, Securities Exchange Act of 1934 and more. Brian Dennen has 2 emails and 3 mobile phone numbers on RocketReach.
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