Mark Ruggles Location
- California, United States
Mark Ruggles Work
- 2017 - now Chief Operating Officer @ CWS Investments
- 2012 - now Chief Compliance Officer @ CWS Investments
- 2008 - 2012 CCO @ B. B. Graham & Co.
- 2007 - 2008 Operations Coordinator @ IFMG
- 2006 - 2007 Compliance Officer @ DFC Investor Services
- 2002 - 2006 Regional Transaction Compliance Principal @ WM Financial Services
Mark Ruggles Education
- University of Pennsylvania - The Wharton School
CRCP (Certified Regulatory Compliance Professional)
2010 - 2011 - University of Southern California - Marshall School of Business
Bachelor of Science (Business Administration / Finance)
2000 - 2001 - Mt. San Antonio College
Associate of science (Accounting)
1995 - 1998
Mark Ruggles Skills
- Securities
- Compliance
- Investments
- Series 7
- Asset Managment
- Series 63
- Risk Management
- Strategic Financial Planning
- Alternative Investments
- Investment Advisory
- Mutual Funds
- Wealth Management
- Equities
- Series 24
- Retirement Planning
- FINRA
- Asset Allocation
- Trading
- Series 65
- Uniform Combined State Law
- Due Diligence
- Portfolio Management
- Hedge Funds
- Fixed Income
- Asset Management
- Leadership
- Public Speaking
- Advertising
- Strategic Planning
- Strategy
- Creative Direction
- Uniform Combined State
- Strategic Financial
Mark Ruggles Summary
- Mark Ruggles, based in California, United States, is currently a Chief Operating Officer at CWS Investments. Mark Ruggles brings experience from previous roles at CWS Investments, B. B. Graham & Co., IFMG and DFC Investor Services. Mark Ruggles holds a 2010 - 2011 CRCP in Certified Regulatory Compliance Professional @ University of Pennsylvania - The Wharton School. With a robust skill set that includes Securities, Compliance, Investments, Series 7, Asset Managment and more. Mark Ruggles has 1 emails and 2 mobile phone numbers on RocketReach.
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