Harold Chaffee Email & Phone Number
Chief Compliance Officer | NewEdge Securities, LLC @ NewEdge Capital Group
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Harold Chaffee Location
- Boca Raton, FL, US
Harold Chaffee Work
- 2025 -now Chief Compliance Officer | NewEdge Securities, LLC @
- 2024 -2025 Broker-Dealer and RIA Regulatory Compliance Consultant
- 2022 -2024 Chief Compliance Officer | Triad Advisors @ Osaic
- 2023 -2024 Deputy Chief Compliance Officer | Osaic Wealth @ Osaic
- 2021 -2024 Chief Compliance Officer | Securities America @ Osaic
- 2019 -2021 Managing Director, Chief Compliance Officer | National Securities Corporation @
- 2018 -2021 Managing Director, Chief Compliance Officer | National Asset Management, Inc. @
- 2008 -2018 Director of Compliance Support Services @
- 2001 -2008 Chief Compliance Officer @ Triad Advisors, Inc.
- 1999 -2001 Capital Markets Specialist @
- 1997 -1999 Vice President, Compliance Officer @ JC Bradford & Co.
- 1995 -1997 Examiner @
- 1993 -1995 Staff Accountant, Manager @ Securities Consultants, Inc.
Harold Chaffee Education
- Florida Atlantic University
Bachelor Of Business Administration (Finance)
1994
Harold Chaffee Skills
- Financial Services
- Social Media
- Investment Advisor Compliance
- Internal Controls
- Strategy
- Financial Advisory
- Risk Management
- Sec and Finra Mock Audits
- Management
- Securities Regulation
- Registration Services
- Due Diligence
- FINRA
- Compliance
- Auditing
- Broker Dealer
- Alternative Investments
- Anti Money Laundering Reviews
- Financial Risk
- Securities
- Capital Markets
- Leadership
- Banking
- Risk Assessment
- Series 24
- Written Supervisory Procedures
- Insurance
- Broker Dealer Compliance
- Customer Service
- Strategic Planning
- SEC
- Finance
- Investment Advisory
- Mutual Funds
Harold Chaffee Summary
- Harold Chaffee, based in Boca Raton, FL, US, is currently a Chief Compliance Officer | NewEdge Securities, LLC at NewEdge Capital Group. Harold Chaffee brings experience from previous roles at Independent Contractor - Self Employed and Osaic. Harold Chaffee holds a Bachelor Of Business Administration in Finance @ Florida Atlantic University. With a robust skill set that includes Financial Services, Social Media, Investment Advisor Compliance, Internal Controls, Strategy and more. Harold Chaffee has 4 emails and 2 mobile phone numbers on RocketReach.
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