Sheila Gentile is a skilled professional, that works in Advisor Group main office of which is in 1. on the position of Investment Advisory Compliance Team Lead from 2019. This expert gained professional experience in more than seven positions at various companies. Sheila Gentile went to the University of Hartford and was studying there from 2006 to 2010. This person has these qualifications: Series 7, Series 24, and Series 65. New York, New York is the city, where this expert was lastly known to be located. This professional's e-mail and phone are easily accessed through SoftwareOfficial on demand.
Name variants:
Sheila Gentile
Last updated Jun 18, 2024
Contact Information
Workplace
Investment Advisory Compliance Team Lead
Colleagues
Work History
Investment Advisory Compliance Team Lead
20 east Thomas Rd, Phoenix, AZ 85012
from Sep 2019
Surveillance and Investigations Director
40 Wall Street Ct, New York, NY 10005
Nov 2018 — Aug 2019
Surveillance Manager
40 Wall Street Ct, New York, NY 10005
Jul 2016 — Nov 2018
Surveillance Analyst
40 Wall Street Ct, New York, NY 10005
Oversee reviews of exception reports and special surveillance reviews to enforce compliance with firm policies and regulatory rules (FINRA Rule 2111, 2330, etc.)
Conduct trade suitability ...
Jul 2015 — Jul 2016
Compliance Examiner
40 Wall Street Ct, New York, NY 10005
Monitor exception reports for suitability for both the Broker-Dealer and Registered Investment Adviser
Investigated and responded to customer complaints made directly to the Firm and throu...
Mar 2013 — Jul 2015
Registration Associate
40 Wall Street Ct, New York, NY 10005
Prepare monthly and weekly reports using Microsoft Excel
Answer telephone and e-mail inquiries from Representatives from 48 sales offices through out the United States
File SRO and state ...
Dec 2010 — Mar 2013
Intern
6300 Lamar Ave, Mission, KS 66202
Worked with financial advisers developing financial plans
Called prospective advisers to set up interviews
Sat in on weekly meetings with the manager and advisers
Helped organize the adv...
Jan 2010 — May 2010
Education
2006 — 2010
Occupations
Executive
Team Leader
Accountant
Finance and Accounting Specialist
Director
Operations Manager
Accounting Bookkeeper
Bookkeeper
Skills
Microsoft Excel
Netx360
Mutual Funds
Surveillance
Regulatory Compliance
Webcrd
Phone Coverage
Data Entry
Finance
Series 24
Economics
Insurance
Series 7
Series 63
Series 65