David Rafteseth
Operations Risk and Controls
- Role
- Regulatory Solutions at LPL Financial
- Location
- Omaha, NE, US
- LinkedIn followers
- 500 followers
Experience
Regulatory Solutions
Dec 2022 — Present · US
Education
The Wharton School
Securities Industry Institute
Baylor University
Bachelor of Administration, Finance, Accounting
1987 — 1990
Skills
- Fixed Income
- Series 63
- Trading Systems
- Bonds
- Settlement
- Hedge Funds
- Wealth Management
- Corporate Actions
- Broker-Dealer
- Derivatives
- Middle Office
- Bloomberg
- Series 99
- Alternative Investments
- Capital Markets
- Series 7
- Options
- Banking
- Mutual Funds
- Risk Management
- Back Office
- Securities
- Investments
- Financial Risk
- Asset Management
- Financial Markets
- Trading
- Finra
- Series 24
- Equities
- Financial Services
- Equity Trading
- Electronic Trading
- Prime Brokerage
- Clearing
- Fx Options
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