Bob Falkenberg is a highly qualified professional, working in Solid Rock Consulting as a Chief Executive Officer and Grand Poohbah from 2008. Bob has earned professional experience in more than seven positions at various companies. Bob Falkenberg went to the San Diego State University and was studying from 1988 to 1990. San Diego, California is the city, where this person was known to settle. The professional's e-mail and phone are easily accessed through SoftwareOfficial by request.
Name variants:
Robert Falkenberg
Last updated Jul 03, 2024
Contact Information
Last Update
Jul 14, 2022
Email
bo**@srccompliance.com
Location
San Diego, CA
Company
Solid Rock Consulting
Workplace
Chief Executive Officer and Grand Poohbah
Work History
Chief Executive Officer and Grand Poohbah
I provide compliance support services for securities broker - dealers and investment advisors. I also provide litigation support services for firms and reps embroiled in the regulatory proce...
Oct 2008 — Dec 2015
Vice President Risk Management
Risk Manager for a FINRA registered brokerage firm specializing in offerings of Private Placement Securities. PTX will typicall play a distributor / managing broker role on offerings; direct...
Apr 1, 2013 — Sep 2015
Chief Compliance Officer
Texas
As Tri-Star's, CCO, my duties include:
supervision of one compliance officer and an AMLCO
establish compliance policies and procedures
backtesting of policy implementation and performanc...
Sep 2010 — Apr 2013
Corporations Examiner
Regulation of Securities Broker - Dealers and State Registered Investment Advisors.
Sep 1990 — Oct 2003
Education
1988 — 1990
Occupations
Executive
Senior Vice President
Chief Executive Officer
Sales Specialist
Agent
Accountant
Finance and Accounting Specialist
Professor
School Principal
Vice President
Chief Executive
Corporate Executive
Sales Representative
Accounting Bookkeeper
Bookkeeper
School Administrator
Educational Manager
Skills
Finra
Sec
Litigation Support
Aml
Securities
Compliance
Auditing
Financial Services
Private Placements
Risk Management
Fixed Income
Investment Advisory
Due Diligence
Corporate Governance
Investments
Mutual Funds
Anti Money Laundering
Series 7