Mary Cooke Email & Phone Number
Vice President Deputy CCO @ Blaylock Van, LLC
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Mary Cooke Location
- Atlanta, GA, US
Mary Cooke Work
- 2025 -now Vice President Deputy CCO @
- 2023 -2025 Advisor Supervision Principal @
- 2022 -2023 Regulatory Compliance and Operations Professional; Outsourced CCO @
- 2021 -2022 Chief Compliance Officer @ Bridge Capital Associates. Inc.
- 2021 -2022 Compliance and Regulatory Consultant @
- 2012 -2020 WFA Regional Supervisor @
- 2011 -2012 CCO, COO, AML CO, Member @ Harbor Light Securities, LLC Harbor Light Investment Advisors, LLC
- 2010 -2011 Sr. Branch Office Examiner @
- 2009 -2010 Agency Supervisory Officer @ Piedmont Financial, LLC a General Agency of Massmutual Life Insurance Co. (MassM
- 2008 -2009 Business Operations Manager @
- 2003 -2007 Sr. Regional Supervisory Specialist @
- 2000 -2002 Compliance Examiner @
- 1986 -1999 Investment Consultant - AVP @
Mary Cooke Education
- Agnes Scott College
BA (Mathematics)
1982-1986 - Arlington Schools 1978-1982
- Woodward Academy
Mary Cooke Skills
- Investigation Management
- Investigation
- Global Regulatory Compliance
- Legal Compliance
- Fraud Detection
- Consulting
- Communication
- FINRA
- Series 7
- Series 24
- Mutual Funds
- Investments
- Fixed Annuities
- Investment Advisory
- Uniform Combined State Law
- Wealth Management
- Equities
- Insurance
- AML
- Retirement Planning
- Risk Management
- Asset Managment
- Financial Services
- Options
- Portfolio Management
- Fixed Income
- Alternative Investments
- 401k
- Asset Allocation
- Financial Risk
- Trading
- Investment Management
- Life Insurance
- KYC
- IRAs
- Investment Strategies
- Securities
- Financial Advisory
- Banking
- Investment Banking
- Broker-Dealer Compliance
- Broker-Dealer Operations
- Mergers & Acquisitions (M&A)
- PIPE
- Securities Regulation
- Sales
- Retirement Plan Consulting
- Wealth Accumulation
- USA PATRIOT Act
- Advisory
- ETFs
- Equity Trading
- 401k Rollovers
- Administration
- Private Placements
- Mathematics
- SEC
- Clinical Trials
- Market
- Sound
- Books
- Nasd
- Training and Development
- Precious Metals
- Location
- Selling
- Brokerage
- Net
- Fee
- Articulate
- Multifaceted
- Adjustments
- Finance
- Piedmont
- Oversight
- Interrogation
- Variable Products
- Real Estate
- Violations
- Complaints
- Paperwork
- Law Enforcement
- Windows XP
- Reuters
- Third Party
- Regulatory Compliance
- Subscription
- Steel Detailing
- Travel
- Data Conversion
- Municipalities
- Disclosures
- Uit
- Uniform Combined State
- Management
- Revenue
- Design
- Insurance Planning
- Funding
- Identifies
- Signage
- Integration
- Commissioned Art
- 529 Plans
- Steering
- Rules
- Clearing
- Circumstances
- Auditing
- Resolve
- Aid
- Monitors
- Ethics
- Public Speaking
- Accounting
- Human Resources
- Exams
- Bonds
- Results Oriented
- Traffic Monitoring
- Georgia
- Daily Operations
- Reconcile
- Settlement
- Networking
- Escalation
- Legal Writing
- System
- Charges
- Business Services
- Atlanta
- B2B Marketing
- Cornerstone
- Sage Act
- Reports
- County
- Supervision
- Option Agreements
- Strategies
- Microsoft Office
- Timely Execution
- Sales Promotion
- New Business Development
- Piloting
- Testing
- Asset Management
- Training
- Financial Institutions
- Policy
- Concept Generation
- Supervisory
- Ariba
- Contests
- Wealth
- Operational Risk Management
- Documentation
- Project Management
- Trains And Add Rails
- RPO
- Rule 144
- Shares
- Capital
- Task Force
- Compliance Management
- REIT
- Analysis
- Surveillance
- Written
- Business Continuity Planning
- Billing Systems
- Advertising Agency
- Trust Services
- Compliance Reporting
- Product Marketing
- Letters
- Achiever
- Jurisdiction
- Symphony
- Operating Systems
- Birmingham
- Money Managers
- Applications
- Query Writing
- Sales Practices
- Office Management
- Evidence
- Advertising
- Business Operations
- Active
- Bulletins
- Sales Management
- Licensing
- Operations
- Maturity
- General Securities Principal
- Exceptions
- Marketing
- Checks
- Sales Trainings
- Project Planning
- Omissions
- Data Logging
- Rollout
- Contractual Agreements
- House
- Facilities Management
- Interpreting
- Short Term
- Computer Proficiency
- Suitability
- Responsibility
- Regulations
- Art
- Misrepresentation
- Efficient
- Presenter
- Marketing Materials
- Executive Management
- See 17+See Less
- Switch
- Streetscape
- Reynolds
- Civic
- Branches
- Lighthouse
- Forms
- Reviews
- Mastering
- Mortgage Lending
- Guidelines
- Insurance Brokerage
- Windows NT
- Software
- Claim
- Gifts
- Compliance
- Outlook
- Sungard
- Continuing Education
- Stocks
- Parties
- Subjects
- Unit Investment Trusts
- Interviews
- Institutional Accounts
- Financial Research
- Treasury
- Regional Planning
- Financial Reporting
- Registrations
- Risk
- Filing
- Support Staff
- Delivery
- Retirement
- Employee Benefits
- Coordinate
- Performance Management
- Commitment To Quality
- Dealers
Mary Cooke Summary
- Mary Cooke, based in Atlanta, GA, US, is currently a Vice President Deputy CCO at Blaylock Van, LLC. Mary Cooke brings experience from previous roles at Grove Point Financial, Compliance Risk Concepts (CRC), Bridge Capital Associates. Inc. and B/D Compliance Associates. Inc.. Mary Cooke holds a 1982 - 1986 BA in Mathematics @ Agnes Scott College. With a robust skill set that includes Investigation Management, Investigation, Global Regulatory Compliance, Legal Compliance, Fraud Detection and more. Mary Cooke has 2 emails and 1 mobile phone numbers on RocketReach.
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