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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