2017 -2018 Principal, Service Finance and Compliance @
2015 -2017 Compliance Advisor III @
2014 -2015 Brokerage Principal @
2012 -2014 Senior Resource Specialist @
2008 -2012 Premier and PCS Client Service Representative @
2004 -2008 Inbound Sales Specialist @
John Loy Education
Southern Methodist University - Cox School of Business
Master of Business Administration
2017-2019
John Loy Skills
Investments
Mutual Funds
Regulatory Compliance
Customer Service
Broker-Dealer Compliance
Options
Advertising Review
Series 4
Series 53
Series 66
Brokerage
Registered Investment Advisor
Broker-Dealer
Fixed Annuities
Variable Annuities
General Securities Principal
Certified Financial Planner
John Loy Summary
John Loy, based in Texas, United States, is currently a Sr. Manager, Supervision and Controls at Charles Schwab. John Loy brings experience from previous roles at Edward Jones, New York Life Insurance Company and Capital One. John Loy holds a 2017 - 2019 Master of Business Administration @ Southern Methodist University - Cox School of Business. With a robust skill set that includes Investments, Mutual Funds, Regulatory Compliance, Customer Service, Broker-Dealer Compliance and more. John Loy has 3 emails and 1 mobile phone numbers on RocketReach.
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