Manager San Francisco Experience Compliance .Net

Jason Tripp

Email: *********@********.***

Address: ** ****** ***

City: Pacifica

State: CA

Zip: 94044

Country: USA

Phone: 650-***-****

Skill Level: Senior

Salary Range: 0

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

i32 Paloma Avenue, Pacifica ***.***-***-*****.*********@********.***

Jason L Tripp

Active FINRA licenses a Clean U-4 with no disclosures

7, 24, 63,79, 87, 99 a Bachelors Degree in Accounting from the University of Arizona

Experience

2007 a Present

Burrill Merchant Advisor Group

San Francisco, CA

Chief Compliance Officer& Anti Money Laundering Compliance Officer

Supervise an equities trading desk, merger & acquisitions, private placements, debt & equity underwriting, research reports, due diligence, anti-money laundering, reg d placements, and a proprietary trading account.

2006 a Current

Radiant LLC

San Francisco, CA

Owner

Collect royalties on copyrighted advertising material

Provide regulatory consulting services to FINRA & MSRB member firms

Provide anti money laundering consulting services to FINRA & MSRB member firms.

2003 - Present

Multiple FINRA member firms

San Francisco, CA

Compliance Manager

2010 a Compliance Advisor to LendingClub.com (non FINRA member firm)

2009 a Present Belvedere Global Investors a Compliance Manager for FINRA member firm

2009 a Present Westhoff Cone & Holmstedt a Compliance Manager for FINRA member firm

2008 a Present Sutter Securities a Compliance Manager for FINRA member firm

2007 a 2010 Capital Solutions Distributors a Compliance Manager for FINRA member firm

2004 a 2006 NF Communications (non FINRA member firm)

2003 a 2004 Atlas Securities, subsidiary of Golden West Financial a Compliance Manager for

FINRA member firm

2000 - 2003

NASD

San Francisco, CA

Examiner

Audit NASD member firms to determine compliance with MSRB, NASD, & SEC regulations

Perform Net Capital Calculations of NASD member firms

Conduct cause examinations of member firms & registered personnel

Education

1993 - 1997

University of Arizona

Tucson, Az

Bachelors Degree in Accounting

Minor in History

References available upon request

Francisco, CA

Owner

Collect royalties on copyrighted advertising material

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