Denise Evans's Location
Los Angeles, CA, US
Denise Evans's Work
- @ Compliance - Regulatory Consulting
- Chief Compliance Officer @ Stonnington Group, LLC
- Chief Compliance Officer @ Antaeus Capital Inc.
- Sr VP, General Counsel @ Associated Securities Corp
- Chief Compliance Officer and Counsel @ Associated Securities Corp
- Chief Compliance Officer @ Associated Planners Investment Advisory
- Supervisor of Examiners @ FINRA
Denise Evans's Education
- UCLA School of Law
Juris Doctor (Law)
1982 - 1985 - Wellesley College
BA (Political Science)
1978 - 1982
Denise Evans's Skills
- FINRA
- SEC
- Investment Banking
- USA PATRIOT Act
- Broker Dealer
- Investment Advisory Regulation 40 Act
- Investment Advisory
- Series 7
- Mutual Funds
- Securities
Denise Evans's Summary
Denise Evans, based in Los Angeles, CA, US works at Compliance - Regulatory Consulting, bringing experience from previous roles at Stonnington Group, LLC, Antaeus Capital Inc. and Associated Securities Corp. Denise Evans holds a 1982 - 1985 Juris Doctor in Law @ UCLA School of Law. With a robust skill set that includes FINRA, SEC, Investment Banking, USA PATRIOT Act, Broker Dealer and more, Denise Evans contributes valuable insights to the industry.
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