Heath Smargiasso
Director of Compliance @Valmark Financial Group
Cleveland, OH, US
EMAILS
MOBILE NUMBERS
+91 *********19
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WORK HISTORY
Dec 2020 — Present
Director of Compliance @Valmark Financial Group
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As Director of Compliance at Valmark, I have the privilege to work with a talented group of compliance and operations professionals to help adhere and adapt to the ever changing Broker/Dealer regulatory landscape.
SKILLS
Financial ServicesEvent PlanningSecuritiesSeries 7Financial PlanningAnti Money LaunderingInvestment Custodian Platform Fee NegotiationsDislcosure BrochuresMarketing StrategyFinancial AdvisorySeparately Managed AccountsSecurities RegulationAdvisor Practice Management, Portfolio Modeling, Ria Design/ComplianceSeries 63Event ManagementConference CoordinationSec FilingsInvestments401(K) Retirement Savings PlansWealth ManagementErrors & OmissionsFinancial MarketsEtfsRetirement PlanningPortfolio ManagementSeries 24Registered Investment Advisor Practice Creation and ManagementVideo ProductionFinraSeries 65
ABOUT HEATH SMARGIASSO
As the President of an RIA creation and practice management company, Able Regulatory…
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