Marlon Johnson Email & Phone Number
Regulatory Exam Manager @ Cetera Financial Group
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Marlon Johnson Location
- Atlanta, GA, US
Marlon Johnson Work
- Regulatory Exam Manager @ (November 2015 - Present)
- Supervisor - External Audit @ (November 2014 - November 2015)
- Compliance Examiner @ (July 2014 - November 2014)
- Examiner @ (March 2014 - July 2014)
- Compliance Examiner @ (April 2011 - March 2014)
- Licensed Personal Banker @ (June 2010 - February 2011)
- Stock Broker, Stock Plans - FSRII @ (June 2009 - June 2010)
- Stock Broker, General Retail - FSR1 @ (June 2008 - June 2009)
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 3 mobile phone numbers on RocketReach.
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Top Cetera Financial Group Employees
Prashant Sarode
Managing Director, Head of AI
Charlotte, NC, US
Jon Anderson
Managing Director, Head of Workplace and Retirement
San Diego, CA, US
Tom Halloran
President and CEO of Cetera Advisors
Wellesley, MA, US
Casper Thomsen
Managing Director, Head of Enterprise Data
Texas, United States
Mike Ragunas
Chief Technology Officer
Denver, CO, US
Edward O'Brien
Chief Operating Officer
Boston, MA, US
Todd MacKay
President, Cetera Wealth Management
Evergreen, CO, US
Jennifer Hanau
President, RIA and Branches Channel
Boulder, CO, US
Summer Pretzer
Senior Vice President, Head of Risk Controls
San Diego, CA, US
Christian Mitchell
President, Cetera Solutions
San Diego, CA, US
Maxwell Razzore
Vice President - Program Manager
San Diego, CA, US
Adeline Wong
SVP, Head of Retirement Plan Programs and Strategy
San Diego, CA, US
Deepti Tivel
Managing Director, Head of Talent Acquisition
San Diego, CA, US
Jeff Buchheister
Chief Financial Officer
San Diego, CA, US
Andy Watts
President, Tax Channel
Texas, United States
Scott Hennon
Chief Information Security Officer and Head of Enterprise IT Risk Management
Florida, United States
Andrea Shane
Managing Director, Head of Sales and Growth Operations
Florida, United States
Michael Durbin
Chief Executive Officer
United States
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