John Loy Email & Phone Number
Sr. Manager, Supervision and Controls @ Charles Schwab
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John Loy Location
- Texas, United States
John Loy Work
- Sr. Manager, Supervision and Controls @ (June 2021 - Present)
- Field Supervision Director @ (October 2019 - May 2021)
- Senior Associate, Service Resiliency @ (September 2018 - September 2019)
- Principal, Service Finance and Compliance @ (January 2017 - September 2018)
- Compliance Advisor III @ (December 2015 - January 2017)
- Brokerage Principal @ (June 2014 - December 2015)
- Senior Resource Specialist @ (August 2012 - June 2014)
- Premier and PCS Client Service Representative @ (September 2008 - August 2012)
- Inbound Sales Specialist @ (October 2004 - September 2008)
John Loy Education
- SMU Cox School of Business
Master of Business Administration
2017-2019 - The University of Texas at Arlington
Bachelor of Business Administration (B.B.A.) (Finance, General)
2012
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 @ SMU 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 2 emails and 1 mobile phone numbers on RocketReach.
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