Tracy Wiswall
20 Year Compliance Officer (Retail and Institutional)
- Role
- Lead - Central Gardens at Nextdoor
- Location
- Memphis, TN, US
- LinkedIn followers
- 500 followers
Experience
Lead - Central Gardens
Jan 2013 — Present
Volunteer administrator role.
Education
Southeastern Louisiana University
Bachelor of Business Administration, Management
1992 — 1997
Skills
- Equities
- Mutual Funds
- Risk Management
- Uniform Combined State Law
- Series 63
- Aml
- Asset Managment
- Capital Markets
- Series 7
- Finra
- Series 24
- Series 4
- Broker-Dealer
- Hedge Funds
- Securities Regulation
- Securities
- Fixed Income
- Investments
- Alternative Investments
- Investment Advisory
- Wealth Management
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