Joe Terry Email & Phone Number
Managing Director - CCO for CCO Capital,LLC @ CIM Group
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Joe Terry Location
- Scottsdale, AZ, US
Joe Terry Work
- Managing Director - CCO for CCO Capital,LLC @ (March 2024 - Present)
- Chief Compliance Officer - CCO Capital @ (September 2020 - March 2024)
- SVP Compliance - Surveillance and Investigations @ (January 2019 - September 2020)
- Chief Compliance Officer @ (April 2017 - November 2018)
- Deputy Chief Compliance Officer @ (November 2016 - April 2017)
- Chief Supervision Officer @ (March 2014 - October 2016)
- Pres. and CEO of HMII @ (August 2009 - February 2014)
- Chief Compliance Officer HMII @ (October 2008 - August 2009)
- Compliance Consultant (NSLLC) @ (December 2005 - October 2008)
- Retirement Specialist @ (September 2004 - December 2005)
Joe Terry Education
- Indiana University - Kelley School of Business
MS
2010-2011 - Indiana University - Kelley School of Business
MBA
2008-2010 - Westminster College (MO)
BA
1998-2002
Joe Terry Skills
- Financial Services
- Risk Management
- Securities
- Life Insurance
- Fixed Annuities
- Insurance
- Retirement Planning
- Mutual Funds
- Investments
- Property & Casualty Insurance
- Retirement
- Series 63
- Underwriting
- Marketing
- Sales
- Change Management
- Regulatory Compliance
- Due Diligence
- Risk Assessment
- Strategic Planning
- Securities Regulation
- Leadership
- Customer Service
- Team Building
- Staff Development
- Relationship Building
- Public Speaking
- Management
- FINRA
- Compliance Management
- Board of Directors Reporting
- Series 24
- Broker-Dealer
- Broker-Dealer Compliance
- SEC
- Regulations
- Compliance Regulations
- Federal & State Regulations
- SEC Regulations
- Business Workflows
- Series 7
- Series 4
- Series 27
- Series 53
- Privacy
- Service-Level Agreements (SLA)
- Operations
- Utilization Management
- Performance Measurement
- Writing
- Consulting
- Ease
- Brokerage
- Net
- Driving
- Business Administration
- Savings
- Resource Efficiency
- Broker Dealer
- Programming Languages
- Auditing
- Exams
- Supplier Evaluation
- Profit
- Portfolio Management
- Manuals
- System
- Asset Allocation
- Strategy
- Broker Dealer Compliance
- Revision
- Training
- Supervisory
- Surveying
- Revise
- Indiana
- Jurisdiction
- Economics
- Retail
- K 12
- Applications
- Communication
- Federal And State Regulations
- Series 6
- Cost Savings
- Dealer Operations
- Project
- Engagement
- Plain English
- Covering
- Annuity Sales
- Efficiencies
- History
- Affiliates
- Electronics
- Credentials
- Compliance
- Agents
- Internal Controls
- Onboarding
- Property And Casualty Insurance
- Budgets
- Business Strategy
- Risk
- Technology Platforms
- Conceptual Modeling
- Expense Management
- Dealers
Joe Terry Summary
- Joe Terry, based in Scottsdale, AZ, US, is currently a Managing Director - CCO for CCO Capital,LLC at CIM Group. Joe Terry brings experience from previous roles at CIM Group, LPL Financial and Signator Investors, Inc.. Joe Terry holds a 2010 - 2011 MS @ Indiana University - Kelley School of Business. With a robust skill set that includes Financial Services, Risk Management, Securities, Life Insurance, Fixed Annuities and more. Joe Terry has 2 emails and 3 mobile phone numbers on RocketReach.
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