Wendy Espinoza is a skilled expert, that works in Prudential Financial main office of which is in 137. as a Compliance Manager from 2019. Wendy has earned professional experience in more than eight positions at different companies. Wendy Espinoza went to the Medgar Evers College, Cuny and received education there from 2010. This person has these professional qualifications: Series 7, Series 24, and Series 63. Secaucus, New Jersey is the area, where this professional was lastly known to be living. The person's e-mail and phone are easily accessed through SoftwareOfficial on demand.
Name variants:
Gwendolen Espinoza
Last updated Jun 24, 2024
Contact Information
Workplace
Colleagues
Work History
Chief Compliance Officer
Martel Capital LLC, is an Investment Banking broker dealer with a focus on serving the corporate financing needs of public and private middle market firms and emerging growth companies.
Aug 2015 — Oct 2017
Compliance Director
New York, NY
Ensure the firm's compliance with all FINRA, MSRB, and SEC rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer/ in...
Mar 2012 — Aug 2015
Financial Service Professional
51 Madison Ave, New York, NY 10010
Developed and implemented business and marketing plans. Discussed financial concerns and needs of individuals. Presented potential solutions using the company's products and services.
Jul 2011 — Feb 2012
Tax Consultant
Conducted research on tax laws. Discussed strategies with clients to minimize tax liability. Communicated with clients to explain tax issues. Prepared tax returns. Kept clients compliant wit...
Jan 2009 — Jan 2011
Education
from 2010
Occupations
Executive
Compliance Manager
Accountant
Finance and Accounting Specialist
Compliance Officer
Bank Examiner
Director of Quality Control
Accounting Bookkeeper
Bookkeeper
Financial Compliance Examiner
Auditor
Skills
Microsoft Office
Customer Service
Research
Series 7
Series 63
Series 24
Finra
Financial Services
Securities
Life Insurance
Financial Analysis
Sec
Investment Banking
Investment Advisory
Capital Markets
Bloomberg
Investments
Asset Management
Portfolio Management
Finance
FAQs about Wendy Espinoza
What is the main profession of Wendy Espinoza?
Wendy is a Compliance Manager.
What are the main profession of The professional?
These person's professions are Executive and Compliance Manager
Where does Wendy Espinoza live?
Secaucus, New Jersey is the place where Wendy Espinoza currently lives
How many companies did Wendy Espinoza work at?
Wendy Espinoza worked at eight jobs.
What education does Wendy Espinoza have?
Wendy studied at the Medgar Evers College, Cuny from 2010.
What are the certifications of Wendy Espinoza?
The professional received the following certifications: Series 7, Series 24, Series 63, and Financial Industry Regulatory Authority (Finra).
What languages does Wendy Espinoza speak?
Wendy Espinoza speaks Spanish, French, and English.
Are there any professional industries Wendy Espinoza works in?
This person works in Financial Services industry.