Steve Solano is a skilled professional, who works in Laidlaw & Company Uk on the position of Chief Creative Officer since 2011. This person has earned professional experience in more than ten positions at various companies. Steve Solano went to the The Bronx High School of Science and received education there from 1974 to 1978. Syosset, New York is the city, where this professional was lastly known to settle. The person's email address and phone can be accessed through this website on demand.
Name variants:
Stephen Solano
Last updated Jun 20, 2024
Contact Information
Last Update
Jul 13, 2022
Email
ss**@lsconsultinggroup.com
Location
Syosset, NY
Company
Laidlaw & Company Uk
Workplace
Chief Creative Officer
Work History
Chief Creative Officer
Supervised all areas of compliance for regional brokerage firm. Managed document production requests and drafted/signed all firm responses to all SEC, FINRA and state inquiries, investigatio...
Jun 2011 — Aug 2013
Consultant
Assisted in the development and implementation of Compliance Risk Assessment Program for foreign bank branch, including compliance monitoring and testing. Assisted in transaction surveillanc...
Dec 2003 — Jul 2004
Assistant Director of Compliance
P/O Box 661, Point Pleasant Beach, NJ
Feb 2002 — Nov 2003
Director of Compliance
Responsible for all areas of compliance for regional brokerage firm. Supported in-house and outside counsel concerning document production requests and responses to all SEC Enforcement and N...
Oct 2000 — Feb 2002
Chief Creative Officer and Syndicate Manager
777 3Rd Ave, New York, NY 10017
Oversaw all aspects of compliance for a sales force of over 200 account executives nationwide. Responsibilities included updating compliance manual, improving surveillance techniques and ame...
Aug 1996 — Jul 1997
Senior Assistant Operations Manager and Compliance Analyst
5250 north Palm Ave SUITE 321, Fresno, CA 93704
Supervised staff of 65 financial consultants regarding all areas of equity, fixed and derivative products. Supported sales functions for a staff of 30 sales assistants. Reviewed and certifie...
Jan 1995 — Aug 1996
Compliance and Surveillance Officer
Multitude of assignments starting in back-office from Margin Clerk (IREC) to middle management as Senior Branch Examiner and then VP/Compliance Officer (SunAmerica)
Jul 1986 — Jan 1995
Staff Supervisor
Texas
Supervised a staff of 15 non-commissioned officers and civil servants in the Materiel Department. Reported to Accounting & Finance Officer on a daily basis the status of critically important...
Jun 1979 — Jun 1986
Education
1974 — 1978
Occupations
Executive
Chairperson
Artist
Creative Director
Accountant
Finance and Accounting Specialist
Counselor
Director of Quality Control
Chief Executive
Art Director
Accounting Bookkeeper
Bookkeeper
Advisor
Compliance Manager
Skills
Series 4
Series 7
Series 9
Series 10
Series 24
Series 55
Series 63
Series 65
Series 99
Securities
Financial Services
Equities
Asset Management
Hedge Funds
Alternative Investments