Marlon Johnson Email & Phone Number
Regulatory Exam Manager @ Cetera Financial Group
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Marlon Johnson Location
- Atlanta, GA, US
Marlon Johnson Work
- 2015 - now Regulatory Exam Manager @
- 2014 - 2015 Supervisor - External Audit @
- 2014 - 2014 Compliance Examiner @
- 2014 - 2014 Examiner @
- 2011 - 2014 Compliance Examiner @
- 2010 - 2011 Licensed Personal Banker @
- 2009 - 2010 Stock Broker, Stock Plans - FSRII @
- 2008 - 2009 Stock Broker, General Retail - FSR1 @
Marlon Johnson Education
- Grambling State University
Bachelor of Science (BS) (Business Management)
- American InterContinental University
Master of Business Administration (MBA) (Accounting and Finance)
Marlon Johnson Skills
- Regulatory Risk
- KYC Verification
- Regulatory Requirements
- Investment Brokerage
- Confidentiality
- Communication
- Problem Solving
- Critical Thinking
- Investment Advisory Services
- Written Communication
- Series 7
- Securities
- Financial Services
- Series 63
- Banking
- Equities
- Finance
- FINRA
- Series 24
- Trading
- Analysis
- Options
- Credit
- Mutual Funds
- Customer Service
- Financial Advisory
- Uniform Combined State Law
- AML
- Data Analysis
- Corporate Actions
- Compliance
- Research
- CIP
- Equity Compensation
- Series 53
- Series 52
- Auditing
- Regulatory Affairs
- Microsoft Excel
Marlon Johnson Summary
- Marlon Johnson, based in Atlanta, GA, US, is currently a Regulatory Exam Manager at Cetera Financial Group. Marlon Johnson brings experience from previous roles at Cambridge Investment Research, Inc. and FINRA. Marlon Johnson holds a Bachelor of Science (BS) in Business Management @ Grambling State University. With a robust skill set that includes Regulatory Risk, KYC Verification, Regulatory Requirements, Investment Brokerage, Confidentiality and more. Marlon Johnson has 2 emails and 2 mobile phone numbers on RocketReach.
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Top Cetera Financial Group Employees
Jon Anderson
Managing Director, Head of Workplace and Retirement
San Diego, CA, US
Tom Halloran
President and CEO of Cetera Advisors
Wellesley, MA, US
Mike Ragunas
Chief Technology Officer
Denver, CO, US
Todd MacKay
President, Cetera Wealth Management
Evergreen, CO, US
Maxwell Razzore
Vice President - Program Manager
San Diego, CA, US
Deepti Tivel
Managing Director, Head of Talent Acquisition
San Diego, CA, US
Andy Watts
President, Tax Channel
Texas, United States
Andrea Shane
Managing Director, Head of Sales and Growth Operations
Florida, United States
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