Sarah Putt Email & Phone Number
Principal Examiner @ FINRA (Financial Industry Regulatory Authority)
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Sarah Putt Location
- Plano, TX, US
Sarah Putt Work
- Principal Examiner @ (May 2024 - Present)
- Contractor @ (January 2024 - May 2024)
- Director of Compliance Advisory @ (January 2023 - May 2023)
- Compliance Program Manager @ (December 2020 - January 2023)
- Director of Compliance Advisory @ (October 2021 - March 2023)
- Vice President, Compliance @ (August 2014 - March 2019)
- Examiner @ (November 2012 - November 2013)
- Principal Regulatory Coordinator @ (July 2006 - November 2012)
- Registered Person @ (January 2005 - July 2006)
Sarah Putt Education
- Louisiana State University
Bachelor of Science (B.S.) (Psychology)
2000-2004
Sarah Putt Skills
- Securities Regulation
- FINRA
- Compliance
- SEC filings
- Risk Assessment
- Financial Audits
- External Audit
- Microsoft Excel
- PowerPoint
- Microsoft Word
- Project Planning
- Public Speaking
- Public Relations
- Management
- Anti Money Laundering
- Financial Services
- Trading
- Due Diligence
- Securities
- Financial Analysis
- Mutual Funds
- Investments
- Risk Management
- Foreign Securities Laws
- Investigative Process
- Development and Implementation of Training Programs
Sarah Putt Summary
- Sarah Putt, based in Plano, TX, US, is currently a Principal Examiner at FINRA. Sarah Putt brings experience from previous roles at FINRA, Beyond Finance and Above Lending. Sarah Putt holds a 2000 - 2004 Bachelor of Science (B.S.) in Psychology @ Louisiana State University. With a robust skill set that includes Securities Regulation, FINRA, Compliance, SEC filings, Risk Assessment and more. Sarah Putt has 2 emails and 1 mobile phone numbers on RocketReach.
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