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
- 2021 -now Sr. Manager, Supervision and Controls @
- 2019 -2021 Field Supervision Director @
- 2018 -2019 Senior Associate, Service Resiliency @
- 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 2 emails and 1 mobile phone numbers on RocketReach.
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