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SCOTT P. TARRA
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MANAGING PRINCIPAL
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starra@financialreg.com
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Scott P. Tarra is Co-Founder and Managing Principal of Financial Registrations, Inc. Mr. Tarra has over thirteen years of FINRA
(formally NASD) broker/dealer and SEC and state investment adviser registration, compliance, and auditing experience. He is responsible
for the overall operations and project management of the organization. As a former regulator with FINRA, he played a key role in
conducting comprehensive examinations and investigations of FINRA broker/dealers, and registered representatives for compliance with
FINRA, SEC, and other federal, state, and SRO rules and regulations. Additionally, Mr. Tarra is a co-founder and former President of a
Southern California based securities compliance consulting firm and has held compliance and auditing positions with Imperial Bank and
Signature Financial Marketing, Inc.
Mr. Tarra received his B.A. from the California Polytechnic University, Pomona, and received his M.B.A. from the University of Redlands
(CA). He currently maintains the Series 27 (Financial and Operations Principal) license in good standing.
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BRIAN K. MILLER
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VICE PRESIDENT, BUSINESS DEVELOPMENT
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bmiller@financialreg.com
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Mr. Miller is responsible for the management and coordination of field sales assignments as well as the implementation of key marketing
strategies for increasing overall business development. He has over fourteen years of sales and marketing experience, and occupies a
position in the organizational structure as Vice President of Business Development. Prior to forming Financial Registrations, he was
Vice President of Business Development for a Southern California based securities compliance consulting firm where he developed and
implemented their sales and marketing program. Mr. Miller also held positions with GE Financial Assurance/Partnership Marketing Group,
and Signature Financial Marketing, Inc.
Mr. Miller received his B.A. from Humboldt State University, California, with a major in Speech Communication and a minor in Media Studies.
Additionally, his general skills and management experience consist of four years of military service including overseas duty during Desert Storm.
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BRYAN R. WEAVER
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MANAGING CONSULTANT
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bweaver@financialregistrations.com
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Bryan R. Weaver, Esq. is a Managing Consultant with Financial Registrations, Inc. responsible for conducting various compliance and legal
projects to include NASD broker/dealer and investment adviser registrations, compliance and legal research, branch office reviews, anti-money
laundering (AML) inspections, and general back-office consulting. Previously, Mr. Weaver served as an Associate Examiner at NASD where he
conducted examinations of various member firms and assisted with NASD formal actions. Mr. Weaver also graduated in the inaugural class of
NASD Examiner University. Prior to his position with NASD, Mr. Weaver gained industry experience with such firms as RBC Dain Rauscher,
Pacific Capital Bancorp and First Union/Everen Securities. In addition, Mr. Weaver gained legal experience acting as a student attorney
for farm workers in Pennsylvania as well as serving as a law clerk for the Ventura County California District Attorney's Office.
Mr. Weaver earned a B.S. in Political Science, with a minor in Business Administration, from the University of Southern California, and a
J.D. from Villanova University School of Law. Mr. Weaver is a member of the California Bar Association. He currently maintains the Series
27 (Financial and Operations Principal) license in good standing.
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DIANA FIGUEROA
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ASSOCIATE CONSULTANT
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dfigueroa@financialreg.com
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Diana Figueroa is an Associate Consultant with Financial Registrations, Inc. Ms. Figueroa has over 5 years of compliance, auditing
and registration experience. She provides consulting services in the area of registration and compliance for FINRA broker/dealers and
investment advisory firms. She has specific knowledge in broker/dealer and investment adviser registration process, home and branch
office reviews, anti-money laundering (AML) inspections, compliance and supervisory procedures, and general back-office consulting.
Prior to joining Financial Registrations, Ms. Figueroa held compliance and operations positions with BW and Associates, Orange County's
Credit Union, and Duerr Financial Corporation.
Ms. Figueroa received her B.A. degree from the University of California Irvine. She currently maintains the FINRA Series 7 and NASAA Series
63 licenses, and the California Health and Life license.
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COREY M. JOHNSON
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ASSOCIATE CONSULTANT
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cjohnson@financialreg.com
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Corey Johnson, Associate Consultant, has over 10 years of compliance, auditing and registration experience. Mr. Johnson has
extensive compliance and registration experience with FINRA broker/dealers, investment advisory firms, NFA and Commodity firms.
He is responsible for conducting various registration and compliance projects to include broker/dealer and investment adviser registrations,
compliance and research, branch office reviews, anti-money laundering (AML) inspections, and establishing general back-office operations.
Mr. Johnson previously served as the Managing Director for a Southern California based consulting firm. He also held the position of Compliance
Examiner with FINRA where he conducted examinations of various member firms and assisted with FINRA formal actions. In addition, Mr. Johnson
has held compliance and operations positions with AIG SunAmerica and PriceWaterhouse Coopers.
Mr. Johnson earned his B.A. degree in political science from Whittier College. He also completed the compliance training program from FINRA's
Examiner University.
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BRANDON E. PAGE
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ASSOCIATE CONSULTANT
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bpage@financialregistrations.com
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Brandon E. Page is an Associate Consultant with Financial Registrations, Inc. handling consulting projects in the Texas Region. Mr.
Page has been in the financial services industry for over nine years with an extensive background in the operations of NASD broker/dealers
and investment adviser firms. Previously, Mr. Page served as the FINOP and Chief Compliance Officer for Morgan Spalding, Inc. Prior to
his position with Morgan Spalding, Mr. Page was the Director of Operations and Compliance for Placemark Investments, Inc., a registered
investment advisor, helping build a customized asset management wrap fee program. His experience also includes serving as the President
of RunMoney Financial Services, Inc., a NASD broker/dealer, and as the Chief Compliance Officer of RunMoney Corporation, a SEC registered
investment adviser. Previous positions also include serving as a financial Advisor with Merrill Lynch and Prudential for several years.
Mr. Page earned a B.B.A. in Finance from the University of Texas. He attended the New York Institute of Finance where he became certified in
Brokerage Operations, Stock Brokerage Accounting, Fundamentals of the Securities Industry I, and Fundamentals of the Securities Industry II.
He also has completed special studies and class requirements from the Investment Training Institute for Financial & Operations Principal. Mr.
Page maintains the following financial licenses in good standing: Series 3, 7, 24, 27, 53, 63, and 65.
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RONALD R. CEDILLOS
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ASSOCIATE CONSULTANT
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rcedillos@financialregistrations.com
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Ronald R. Cedillos is an Associate Consultant with Financial Registrations, Inc. handling various compliance projects to include NASD
broker/dealer compliance research, anti-money laundering (AML) inspections, and general operations consulting. Mr. Cedillos has a strong
background in the operations and compliance requirements of NASD broker/dealers and investment adviser firms. Previously, Mr. Cedillos served
as the Manager of Operations and Compliance as well as the Registered Options Principal and Municipal Bond Principal for Canterbury
Consulting Incorporated located in Newport Beach, California. Prior to his position with Canterbury Consulting, Mr. Cedillos served as an
Operations Specialist with Prudential Financial and also worked for Deloitte & Touche assisting in the underwriting due diligence process
for business and real estate loan pool securitization activities. His experience also includes serving as an Advisory Board Member for Beta
Foster Care and a Board of Governors Member to the Saddleback College Foundation providing assistance with strategic direction and fundraising
initiatives.
Mr. Cedillos earned a B.A. from the University of California, Irvine in 2000, and will be pursuing his MBA at the Stanford University Graduate
School of Business in the fall of 2005. Mr. Cedillos maintains the Series 4, 7, 24, 53 and 63 licenses.
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JAY MUELLER
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BUSINESS DEVELOPMENT
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Jay Mueller is a member of the advisory board, providing guidance and support in the area of business development and new client initiatives.
He is also currently a Program Executive with IBM. He has nearly 30 years of experience in sales and marketing management, software development,
client/server architecture and the implementation and management of distributed enterprise systems. Prior to joining IBM, Mr. Mueller spent 18
years with AT&T in various management positions. He also founded the Crystal Marketing Consulting Group, and has held Vice President positions
with Learning Tree International, Infotec Advanced Technology Training Corporation, and MAS Security Software Systems.
Mr. Mueller is a graduate of Fairfield University with a degree in Marketing.
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