Darius Lashkari is a highly qualified professional, working in Source Regulatory Consulting as a Chief Executive Officer from 2015. Darius Lashkari has earned professional experience in more than 12 positions at various companies. Darius Lashkari went to the City University of New York, Queens College and was studying there from 1995 to 1998. This expert has such qualifications as License Series 4, License Series 7, and License Series 9. Fort Lauderdale, Florida is the city, where this professional was lastly known to live. The professional's email address and phone can be accessed through this website by request.
Name variants:
Darius Lashkari
Contact Information
Last Update
Jul 1, 2022
Email
dl**@yahoo.com
Location
Fort Lauderdale, FL
Company
Source Regulatory Consulting
Workplace
Chief Executive Officer
Work History
Managing Member and Owner
Regulatory Compliance Support and Consulting for Investment Advisory firms, Broker-dealers, and HedgeFunds.
Jun 2015 — Apr 2019
Chief Compliance Officer and Chief Operations Officer
Chief Compliance Officer / Chief Operations Officer
from Oct 1, 2010
Chief Compliance Officer and Chief Operations Officer For Wealth Mangement
Co-Founder and member of the firm’s Investment Policy Committee.
Co-Founder and member of the firm’s Audit & Compliance Committee.
Co-Founder and member of the firm’s IT Compliance Commit...
Feb 2007 — Jul 2009
First Vice President and Central Fl Senior Regional Operations Principal and Supervising Principal
Handled Sarbanes Oxley Certification Reporting for Central FL investment services division.
Managed all registered and unregistered sales associates in Central Florida.
Managed budg...
Jun 2005 — Feb 2007
Vice President and Officer
Provided final resolution to escalated account discrepancy related to interest income, interest expenses (margin interest), and financing rate deals with high net worth clientele and insti...
Feb 2001 — Jun 2005
Supervisor and Assistant Branch Manager
Monitored client account trading activity to ensure suitability with investment objectives. Served as compliance manager and supervisory principal to department of 35 registered represen...
Jun 2000 — Jan 2001
Sales Assistant To Senior Vice President of Investments
420 Montgomery St, San Francisco, CA 94129
Overall operational and administrative support to the 7th highest revenue producing financial advisor in the firm.
Mar 1998 — Jan 2000
Managing Member and Owner at Source Regulatory Consulting Llc
Managing Member / Owner at Source Regulatory Consulting LLC at Andbanc Brokerage LLC and Andbanc Advisory LLC
Education
1995 — 1998
1995 — 1998
1991 — 1994
Occupations
Artist
Creative Director
Executive
Director
Managing Member
Owner
Accountant
Finance and Accounting Specialist
Director of Quality Control
Director of Operations
Compliance Officer
Bank Examiner
Art Director
Operations Manager
Manager
Chief Executive
Accounting Bookkeeper
Bookkeeper
Compliance Manager
Financial Compliance Examiner
Auditor
Skills
Securities
Financial Services
Finra
Banking
Series 7
Investments
Wealth Management
Risk Management
Finance
Financial Risk
Management
Asset Management
Due Diligence
Series 63
Anti Money Laundering
Portfolio Management
Investment Banking
Aml
Equities
Trading
Series 24
Capital Markets
Compliance
Kyc
Leadership
Hedge Funds
Operational Risk
Investment Advisory
Brokerage
Options
Private Banking
Operational Risk Management
Insurance
Prime Brokerage
Alternative Investments
Organizational Effectiveness
Asset Managment
Mutual Funds
Fixed Income
Detailed Organization
Ofac
Usa Patriot Act
Equity Trading
Highly Personable
Languages
Settlement
Securities Regulation
Series 14
Finra Series 27
Finra Series 79 Investment Banking Representative and Principal
FAQs about Darius Lashkari
What is the main profession of Darius Lashkari?
The expert is a Chief Executive Officer.
What jobs is Darius Lashkari a professional at?
Darius Lashkari is a professional Artist and Creative Director jobs.
Where is Darius Lashkari currently located?
The professional is located in Fort Lauderdale, Florida.
Does the professional have the email address?
dl**@yahoo.com is Darius's email address.
How many companies did Darius Lashkari work at?
Darius Lashkari worked at 12 jobs.
What education does Darius Lashkari have?
Darius studied at the City University of New York, Queens College from 1995 to 1998.
What are the certifications of Darius Lashkari?
This expert received the following certifications: License Series 4, License Series 7, License Series 9, License Series 10, License Series 24, License Series 27, License Series 53, and License Series 63.
What languages does Darius Lashkari speak?
Darius Lashkari speaks Spanish.