M. Games Email & Phone Number
Advisor Communications Principal @ LPL Financial
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M. Games Location
- Cincinnati, OH, US
M. Games Work
- 2026 -now Advisor Communications Principal @
- 2020 -2026 Marketing Review Analyst @
- 2014 -2020 Compliance Officer @ Ross Sinclaire & Associates, LLC.
- 2008 -2014 Compliance Officer @
- 2007 -2007 Financial Consultant @ Oak Hill Financial Services
- 2005 -2007 Financial Advisor @
- 1996 -2005 Account Services Representative @
- 1996 -1998 Mutual Fund Call Center Representative @
M. Games Education
- Northern Kentucky University
Master of Business Administration (Business Administration and Management, General)
2012-2014 - Northern Kentucky University
Bachelor of Science (Finance, General)
1992-1996 - Western Kentucky University
(General Studies)
1990-1992
M. Games Skills
- Self-confidence
- Broker-Dealer Compliance
- Compliance Testing
- Compliance Monitoring
- Creative Problem Solving
- Compliance Advisory
- Building Effective Relationships
- Series 24
- Regulatory Compliance
- Financial Services
- Series 63
- Series 7
- Securities
- Mutual Funds
- Investments
- Insurance
- Anti Money Laundering
- Microsoft Office
- Microsoft Excel
- Written Communication
- Supervisory Skills
- Skilled Multi-tasker
- Series 66
- Series 6
- Uniform Combined State Law
- FINRA
- Compliance
- Life
- Financial Products
- Microsoft Applications
- Interpersonal Relationships
- Business Consulting
- Regulatory Filings
- Suitability Analysis
- Trade Review
- Code of Ethics
M. Games Summary
- M. Games, based in Cincinnati, OH, US, is currently a Advisor Communications Principal at LPL Financial. M. Games brings experience from previous roles at SEI, Ross Sinclaire & Associates, LLC., Fifth Third Securities and Oak Hill Financial Services. M. Games holds a 2012 - 2014 Master of Business Administration in Business Administration and Management, General @ Northern Kentucky University. With a robust skill set that includes Self-confidence, Broker-Dealer Compliance, Compliance Testing, Compliance Monitoring, Creative Problem Solving and more. M. Games has 3 emails and 1 mobile phone numbers on RocketReach.
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M. Games
Advisor Communications Principal
Cincinnati, OH, US
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