Joseph Neary
Chief Risk Officer Cetera Financial Group @Cetera Financial Group
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WORK HISTORY
Chief Risk Officer Cetera Financial Group @Cetera Financial Group
San Diego, CA, US
EDUCATION
Widener University Schools of Law
JD, Law
University of the Pacific - McGeorge School of Law
LL.M., Law of International Business Transactions
Montclair State University
BA, Business, Psychology
SKILLS
ABOUT JOSEPH NEARY
Risk professional with extensive securities regulatory and financial services experience, with an emphasis on investment advisory and broker-dealer matters as well as experience with insurance and retirement issues. Experience covers the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as SRO and State securities and insurance laws. I have served in the capacity as both in-house counsel and Chief Compliance Officer for both institutional and retail broker-dealers and investment advisers.
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