Michael Gutshall Email & Phone Number
Chief Compliance Officer @ Puma Capital, LLC
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Michael Gutshall Location
- Beachwood, NJ, US
Michael Gutshall Work
- Chief Compliance Officer @ (April 2018 - Present)
- Chief Operations Officer @ (April 2015 - April 2018)
- Chief Compliance Officer, Otc Link @ (October 2010 - February 2015)
- Chief Compliance Officer @ Lighthouse Financial Group (August 2009 - August 2010)
- Senior Compliance Officer @ Hill Thompson Magid & Co (January 2007 - July 2009)
- Compliance Officer @ (June 2002 - August 2005)
- Senior Compliance Officer @ (February 2001 - June 2002)
- Compliance Examiner @ Nasd (September 1997 - February 2001)
Michael Gutshall Education
- Bryant University
Bachelor Of Science (Management, Business Admin)
1992-1994
Michael Gutshall Skills
- FINRA
- Securities
- Series 24
- Risk Management
- AML
- Options
- Trading
- Trading Systems
- Financial Markets
- Mutual Funds
- Asset Allocation
- Investment Advisory
- Financial Services
- Bloomberg
- Portfolio Management
- Derivatives
- SEC filings
- Private Equity
- Settlement
- Financial Regulation
- Equity Derivatives
- ETFs
- Compliance Training
- Investment Banking
- Prime Brokerage
- Due Diligence
- Financial Risk
- Investment Company Act
- Bonds
- Anti Money Laundering
- Asset Management
- Dodd-Frank
- Investment Management
- Investments
- Operational Risk
- Operational Risk Management
- Capital Markets
- Equities
- Dodd Frank
Michael Gutshall Summary
- Michael Gutshall, based in Beachwood, NJ, US, is currently a Chief Compliance Officer at Puma Capital, LLC. Michael Gutshall brings experience from previous roles at Puma Capital, LLC, Otc Markets Group, Lighthouse Financial Group and Hill Thompson Magid & Co. Michael Gutshall holds a 1992 - 1994 Bachelor Of Science in Management, Business Admin @ Bryant University. With a robust skill set that includes FINRA, Securities, Series 24, Risk Management, AML and more. Michael Gutshall has 2 emails on RocketReach.
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