Harry S Email & Phone Number
Compliance Consultant @ Paulson Investment Company, LLC
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Harry S Location
- Portland, OR, US
Harry S Work
- 2025 -now Compliance Consultant @
- 2019 -2025 Chief Compliance Officer @
- 2025 -now Chief Compliance Officer @
- 1998 -now Arbitrator @ FINRA Dispute Resolution
- 1989 -now Owner @ Bill's Badges West
- 2008 -2019 Chief Compliance Officer @ Umpqua Investments, Inc. (Member: FINRA/SIPC)
- 2008 -2014 Compliance Officer @ Umpqua Bank
- 1991 -2008 Chief Compliance Officer @
- 1981 -1991 Equity Trading Manager @ Murphey Favre, Inc.
Harry S Education
- The Wharton School
Certified Regulatory and Compliance Professional (CRCP) (Finance, General)
2002-2004 - Portland State University
Bachelor of Science (B.S.)
1976-1981 - Parkrose High School
Diploma
1973-1976
Harry S Skills
- Strong knowledge of Broker-Dealer and Investment Advisory activities
- Excellent Regulatory Contacts
- Project management
- Series 7
- Mutual Funds
- Wealth Management
- Investment Advisory
- Investments
- Series 24
- Risk Management
- Securities
- Series 63
- Series 65
- AML
- FINRA
- Equities
- Mergers
- Engraving
- Name Tags
- Life Insurance
- Mergers & Acquisitions
- Due Diligence
- Capital Markets
- Hedge Funds
- Asset Allocation
- Private Banking
- Financial Services
- Options
- Credit
- Financial Risk
- Insurance
- Estate Planning
- Retirement
- USA PATRIOT Act
- Securities Regulation
- Banking
- Private Equity
- Bonds
- Loans
- Trading
- Financial Markets
- Fixed Annuities
- High Net Worth Individuals
- Uniform Combined State Law
- Alternative Investments
- Investment Banking
- Bank Secrecy Act
- Broker-Dealer
Harry S Summary
- Harry S, based in Portland, OR, US, is currently a Compliance Consultant at Paulson Investment Company, LLC. Harry S brings experience from previous roles at Paulson Investment Company, LLC, ORCA INVESTMENT MANAGEMENT LLC, FINRA Dispute Resolution and Bill's Badges West. Harry S holds a 2002 - 2004 Certified Regulatory and Compliance Professional (CRCP) in Finance, General @ The Wharton School. With a robust skill set that includes Strong knowledge of Broker-Dealer and Investment Advisory activities, Excellent Regulatory Contacts, Project management, Series 7, Mutual Funds and more. Harry S has 1 emails and 2 mobile phone numbers on RocketReach.
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