Herbert Walton Email & Phone Number
Chief Compliance Officer @ TradeStation
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Herbert Walton Location
- Fort Lauderdale, FL, US
Herbert Walton Work
- Chief Compliance Officer @ (April 2024 - Present)
- Head Of Compliance @ (June 2021 - May 2024)
- Chief Compliance Officer @ (May 2008 - June 2021)
- Chief Risk and Compliance Officer @ (November 2015 - June 2018)
- Director of Compliance @ (August 2004 - May 2008)
Herbert Walton Skills
- RIAs
- Investment Advisers Act
- U.S. Securities and Exchange Commission (SEC)
- Compliance Regulations
- Management
- Operational Risk
- Compliance Advisory
- Compliance Monitoring
- Regulatory Compliance
- Leadership
- FINRA
- Series 24
- Securities
- AML
- Series 7
- Equities
- Series 63
- Electronic Trading
- KYC
- OFAC
- Options
- Trading
- Bank Secrecy Act
- USA PATRIOT Act
- Compliance
- Futures Trading
- Hedge Funds
- Actimize
- Mutual Funds
- Trading Systems
- Fixed Income
- Series 3
- Financial Services
- Risk Management
- Derivatives
- Capital Markets
- Analytical Skills
- Artificial Intelligence (AI)
- Claude Skills
- Communication
- Financial Regulation
- Margin trading
- Operational Excellence
- PowerPoint
- Public Speaking
- Financial Analysis
- Sales
- Research
Herbert Walton Summary
- Herbert Walton, based in Fort Lauderdale, FL, US, is currently a Chief Compliance Officer at TradeStation. Herbert Walton brings experience from previous roles at Altruist and TradeStation Securities. With a robust skill set that includes RIAs, Investment Advisers Act, U.S. Securities and Exchange Commission (SEC), Compliance Regulations, Management and more. Herbert Walton has 7 emails and 2 mobile phone numbers on RocketReach.
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