Aaron
Senior Compliance Business Oversight Manager
- Role
- Senior Compliance Business Oversight Manager at TD
- Location
- Saco, ME, US
- LinkedIn followers
- 500 followers
About Aaron
Experienced Principal with a demonstrated history of working in the financial services industry. Skilled in Financial Analysis, Securities, Retirement Planning, Investment Advisory and Annuities. Strong education professional with a MBA focused in Business from Husson College and FINRA series 7, 9, 10, 24 and 66 licenses along with Maine L/H and Property and Casualty license. Certified Anti-money Laundering Specialist (CAMS). Certified Financial Planner (CFP)
Experience
Senior Compliance Business Oversight Manager
Jun 2025 — Present
Education
Husson University
MBA, Business
2005 — 2006
University of New England
B.S., Business Management
1999 — 2003
Skills
- Leadership
- Mutual Funds
- Asset Allocation
- Securities
- Risk Management
- Financial Advisory
- Trading
- Insurance
- Series 24
- Analysis
- Fixed Annuities
- Series 7
- Management
- Equities
- Retirement
- Investment Advisory
- Investments
- Financial Risk
- Series 63
- Training
- Finra
- Compliance
- Alternative Investments
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.