We found the following information about Daniel C Rome at Advisorassist, where Daniel C Rome has worked as a Vice President Compliance Services and Counsel since 2017. Daniel's total work experience is over 43 years, during which time this professional had at least 21 jobs at different companies to develop skills. Daniel studied at the Widener University from 1997 to 2001. Currently, Daniel C Rome is located in Spangsville, Pennsylvania. You can contact with Daniel by looking for phone or email address or get additional information by requesting access to this professional's further details from SoftwareOfficial.
Name variants:
Danial Rome,
Dan Rome,
Danny Rome
Last updated May 02, 2024
Contact Information
Last Update
Jul 4, 2022
Email
dr**@tauruscompliance.com
Location
Spangsville, PA
Company
Workplace
Vice President Compliance Services and Counsel
Pembroke, MA
Industry
Financial Services
Colleagues
Work History
Vice President Compliance Services and Counsel
892 Plain St, Marshfield, MA 02050
Providing counsel and guidance to existing registered investment advisors (RIAs) as well as working with new clients to complete the SEC or State(s) registration process to become an RIA.
Sep 2017 — Jul 2018
Assistant Vice President Advisory Compliance
4707 Executive Dr, San Diego, CA 92121
Manage team to develop and maintain policies, procedures and controls in order to achieve compliance with the 1940 Investment Advisers Act.
Mar 2014 — Aug 2017
Business Owner
Compliance consulting services to SEC and state registered investment advisers. IARD Management , IAR Registrations (U4 / U5), ADV / ADV 2A Amendments, Regulatory Responses, Compliance Calen...
from Mar 2011
Associate Attorney - Securities Litigation
28 Bridgeside Blvd, Mt Pleasant, SC 29464
Contributed to research and preparation for casework related to Consumer Fraud, Securities Fraud, and Derivative Actions. Demonstrated oral and written communication skills by preparing mark...
Jun 2008 — Feb 2009
Compliance Manager - Equity Market Making
11 Ewall St, Mount Pleasant, SC 29464
Jun 2007 — Jun 2008
Vice President - Risk and Compliance Policy Manager
100 north Tryon St, Charlotte, NC 28202
2004 — 2007
Wilmington, DE
May 2001 — May 2001
Compliance Consultant
Designed supervisory structure and provided training to eighteen branch offices and several individual offices across the nation from Charlotte, NC to Seattle, WA while attending law school ...
2001 — 2004
Compliance Administrator
100 Vanguard Blvd, Valley Forge, PA
Reviewed sales practices and client interactions to ensure compliance with the 34 Act. Established and monitored supervisory structure, particularly, email correspondence and customer compla...
1997 — 2001
Marketing Representative
601 Congress Street Brg, Boston, MA 02210
Solicited new clients by cold calling and bulk mailings for the purpose of selling life insurance, annuity contracts and mutual funds. Organized and delivered presentations to community grou...
1995 — 1997
West Chester, PA
1994 — 1994
Education
1997 — 2001
1990 — 1994
Occupations
Executive
Owner
Vice President
Accountant
Finance and Accounting Specialist
Assistant Vice President
Chief Executive
Accounting Bookkeeper
Bookkeeper
Skills
Securities
Risk Management
Finra
Aml
Derivatives
Sec
Securities Litigation
Dodd Frank
Compliance
Cftc