George Specht is a eficient expert, working in Td Ameritrade main office of which is in 17. on the position of Manager, L and R Technology and Reporting from 2016. This expert gained professional experience in more than five positions at different companies. George Specht went to the University of Nebraska at Omaha and got education there. This expert has such qualifications as Security Licenses, License 7, 63, 66, 24 & 53, and Finra, License 7, 63, 66, 24 &Amp; 53. Honolulu, Hawaii is the area, where the professional was lastly known to be located. George's e-mail and phone are easily accessed through SoftwareOfficial by request.
Name variants:
Georgie Specht
Last updated May 16, 2024
Contact Information
Workplace
Manager, L and R Technology and Reporting
Omaha, NE
Industry
Financial Services, Finance and Insurance, Security, Commodity Contracts and Similar Activity, Security and Commodity Contracts Intermed and Brokerage, 526, Financial Service
Colleagues
Work History
Manager, L and R Technology and Reporting
200 south 108Th Avenue Cir, Omaha, NE 68164
TD Ameritrade Institutional provides comprehensive brokerage and custody services to more than 4,000 fee-based, independent registered investment advisors (RIAs). We provide a suite of solut...
from Nov 2016
Avp, Branch Audit Unit Senior Compliance Officer
P/O Box 3200, Honolulu, HI
Built and managed a rigorous branch examination program for the BWIS retail branch network and the Wealth Management Investment Centers.
Updated and managed the Financial Advisor Mystery S...
Jun 1, 2011 — Nov 2016
Avp, Senior Compliance Officer
P/O Box 3200, Honolulu, HI
Responsible for the suitability review of annuity, insurance, mutual fund and security trades.
Conducted review and analysis of client and regulatory complaints.
Reviewed associate corres...
Aug 2006 — Jun 2011
Continuing Education Coordinator  Corporate Compliance
200 south 108Th Avenue Cir, Omaha, NE 68164
Built new Firm Element CE Program for the newly combined firm of five Broker-Dealers utilizing specialized catalogs for different associate segments.
Nov 2004 — Aug 2006
Senior Broker - Special Products Team
200 south 108Th Avenue Cir, Omaha, NE 68164
Specialized in Fixed Income, CDs, Mutual Funds, UITs and Foreign securities.
Monitored trading volumes and shifted brokers as needed.
Assisted clients who requested escalation to manageme...
Nov 1997 — Nov 2004
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