Theo Basis

United States, New Jersey, Lincroft
64 years old
4.0 1 Reviews
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Anonymous
4.0
01/02/2019 @ 02:52 am

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Education

No Education Specified

Career History

  • AXA Financial

    Compliance Director
    01/2007

  • The Bank of New York

    Mutual Fund Operations Researcher

  • NASD/FINRA-Dist #10 NY

    Senior Compliance Examiner

  • Pruco Securities/ Prudential

    Compliance Manager

  • TD Wealth Management Services

    Compliance Officer

  • AXA Advisors

    Director of Compliance

  • U.S. Trust

    Fixed Income Vault Custodian

  • AXA Equitable

    Director of Compliance

  • J.W. Barclay & Co

    Chief Compliance Officer

  • W. J. Nolan & Co. Inc

    Chief Compliance Officer
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Family & Friends

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Core Competencies

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Greatest Attributes

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Business Achievements

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Worst Failures in Business

No Worst Failures in Business Specified

Political Party

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