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What do you work with?
 
Darkish  posted on Mar 16, 2015 9:46:54 PM - Report post

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RETIRED MOD
United States Navy. Enlisted last year, still in post-boot camp schooling so I have yet to really get out there and do my job.
 
KeeperUsiel  posted on Mar 16, 2015 11:16:38 PM - Report post

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quote:
originally posted by Darkish

United States Navy. Enlisted last year, still in post-boot camp schooling so I have yet to really get out there and do my job.

As a former sailor, I am so, so very sorry.

Surface, bubblehead or sandbagger?

 
Drakonis  posted on Mar 18, 2015 8:36:42 AM - Report post

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I'm a regulatory analyst for the Financial Industry Regulatory Authority. We work with the SEC and the states in regulating all brokers, financial analysts, brokerage firms, etc. in the country. Every firm and person who sells any kind of securities related product has to register with us.

Been here going on 20 years and in four years I will retire. I will take my pension and 401K and move to Florida with my wife and two boys and do some fishing and continue to watch them grow up

 
Harlan85  posted on Mar 21, 2015 7:30:53 PM - Report post

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VETERAN
Former paratrooper from one of the Ukrainian Airmobile Brigade (95).
Now military instructor of recreated Ukraine National Guard.
Right now on vacation.
P.S.
If this russian crap in my country will end some day, want to try myself in IT business (which i'am already done earlier, before that's crap began)

[Edited by Harlan85, 3/21/2015 7:51:24 PM]

 
element5  posted on Mar 22, 2015 5:16:50 AM - Report post

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quote:
originally posted by Drakonis

I'm a regulatory analyst for the Financial Industry Regulatory Authority. We work with the SEC and the states in regulating all brokers, financial analysts, brokerage firms, etc. in the country. Every firm and person who sells any kind of securities related product has to register with us.

Been here going on 20 years and in four years I will retire. I will take my pension and 401K and move to Florida with my wife and two boys and do some fishing and continue to watch them grow up


That has to be a fascinating profession. Were you directly involved in fraud - things like Boiler Rooms, Ponzi Schemes and Bernie Madoff? Any good investment tips? I won't tell anybody.

So coming to Florida....come on down! Only one suggestion I might offer. Unless you're planning to buy a condo, I'd check with the State of Florida. They used to have a map and stats on the best and worst areas for sink holes.

The property my house is on required an insurance claim and concrete injection totalling a little over $100,000 to remedy for sink hole depressions below.

 
HaloSpAz  posted on Mar 24, 2015 5:59:53 PM - Report post

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quote:
originally posted by Element_FIve

quote:
originally posted by HaloSpAz

quote:
originally posted by Element_FIve

Im working as a Community Manager for one of the larger gaming companies! Been doing that for approx. 4,5 years, love the job. But its a lot of traveling and with kids and family it can sometimes become bit of a puzzle!

you can't just say "one of the larger gaming companies" on a website about videogames, we now must know which company it is you speak of so we can either congratulate or berate you, depending on the aforementioned company.

I know... I work at Ubi!

Awesome, they make most of my favorite games! When's the next Splinter Cell come out, and can it please be a prequel with michael ironside voicing him again?

 
Drakonis  posted on Mar 25, 2015 10:04:23 AM - Report post

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quote:
originally posted by element5

quote:
originally posted by Drakonis

I'm a regulatory analyst for the Financial Industry Regulatory Authority. We work with the SEC and the states in regulating all brokers, financial analysts, brokerage firms, etc. in the country. Every firm and person who sells any kind of securities related product has to register with us.

Been here going on 20 years and in four years I will retire. I will take my pension and 401K and move to Florida with my wife and two boys and do some fishing and continue to watch them grow up


That has to be a fascinating profession. Were you directly involved in fraud - things like Boiler Rooms, Ponzi Schemes and Bernie Madoff? Any good investment tips? I won't tell anybody.

So coming to Florida....come on down! Only one suggestion I might offer. Unless you're planning to buy a condo, I'd check with the State of Florida. They used to have a map and stats on the best and worst areas for sink holes.

The property my house is on required an insurance claim and concrete injection totalling a little over $100,000 to remedy for sink hole depressions below.

I don't work in those areas that investigates the firms and reps. I work in our registration and disclsure area. Not as exciting as working in our investigation departments or district offices but I see a lot of interesting criminal court documents. All reps have to be fingerprinted so our department reviews any fingerprints that come back with a hit. We have to review court documents for any charges within 10 years to determine reportability and disqualification requirements.

My department is reponsible for reviewing and analyzying any reportable matter, customer complaint, financial (bankruptcy/judgments/liens), regulatory actions by states and other agencies. We then grant them approval to work or not depending on our guidelines.

Bernie Madoff didn't come under our jurisdiction, he had an investment advisor firm (IA) which is different than your brokerage and securities firms. The SEC and states handle the IA firms. IA's are somewhat relatively new so there is still a lot of adjusting and politics going on with that.

Don't have any really good investment tips except if it sounds to good to be true then it is.

However, if anyone does deal with any broker or agent you can go to one our websites at brokercheck.finra.org/ and check out their employment history, certifications as well as any customer complaint, regulatory actions, criminal history etc.

Thanks for the tip on Florida and the sink holes. We are lookging at Pensacola. I lived there from 1988-1991 when I went to the University of West Florida. Love the beaches and still have lots of friends there.

 
HaloSpAz  posted on Mar 26, 2015 2:57:03 PM - Report post

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that website it good info, thanks.
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