Since 2018, Craig Watanabe has been working in Dfpg Investments, Inc based 151, 151. Craig is a competent Director of Ia Compliance with over 39 years of work experience. According to Craig's CV and work profile, the professional has worked at more than seven places with diverse backgrounds and gained different skills. Craig attended school at the University of California, Los Angeles from 1976 to 1980. This expert has professional certification in Certified Financial Planner (Cfp) and Accredited Investment Fiduciary (Aif). Craig Watanabe can be found in Los Angeles, California – where this person currently lives. You can search for Craig Watanabe's email address and number. We can also provide you detailed contact information upon request.
Name variants:
Craig Watanabe
Contact Information
Last Update
Jun 23, 2022
Email
cr**@penniall.com, cr**@corecls.com
Location
Los Angeles, CA
Company
Workplace
Colleagues
Work History
Director of Ia Compliance
9017 south Riverside Dr #210, Sandy, UT 84070
from Apr 2018
Financial Advisor
123 south Marengo Ave SUITE 200, Pasadena, CA 91101
Helping clients meet their financial objectives. Comprehensive reviews touch upon cash flow management & budgeting, risk management, investments, tax planning, retirement planning and estate...
Jun 2008 — Sep 2017
Senior Compliance Consultant at Core Compliance and Legal Services, Inc
1350 Columbia St SUITE 300, San Diego, CA 92101
Core Compliance & Legal Services, Inc. (CCLS) specializes in compliance and risk management for the financial industry. With the securities industry's ever-increasing focus on risk managemen...
May 2015 — Jul 2017
Senior Compliance Consultant
Assisted RIAs with policy & procedure design, implementation and monitoring. Clients were start-up to mid-size RIAs and typical services include drafting compliance manuals, ADVs, disclosure...
Jul 2014 — Apr 2015
Chief Operations Officer
70 south Lake Ave, Pasadena, CA 91101
I started at Western International as a Financial Planner and in 2001 became the Chief Compliance Officer. At the time there were approximately 225 advisers. In 2005 I took on the additional...
Jul 1996 — Jun 2008
Branch Manager and Financial Advisor
I attended Baraban's "Learn & Earn" program to attain my securities licenses. After passing the Series 7 I worked in trading and operations and gained valuable experience while acquiring oth...
Oct 1982 — Jul 1996
Education
Occupations
Executive
Director
Accountant
Finance and Accounting Specialist
Director of Quality Control
Operations Manager
Accounting Bookkeeper
Bookkeeper
Compliance Manager
Skills
Compliance
Financial Planning
Asset Management
Retirement Planning
Securities
Investment Advisory
401K
Risk Management
Insurance
Public Speaking
FAQs about Craig Watanabe
What's the profession of Craig Watanabe?
This professional's job is Director of Ia Compliance
What are the profession of The professional?
These person's professions are Executive and Director
Where does Craig Watanabe live?
Los Angeles, California is the place where Craig Watanabe lives
What is Craig's email?
The expert's email is cr**@penniall.com and cr**@corecls.com.
Where did Craig Watanabe work?
The expert worked at Dfpg Investments, Inc., American Financial Network Advisory Services.
What education does Craig Watanabe have?
Craig studied at the University of California, Los Angeles from 1976 to 1980.
What are the certifications of Craig Watanabe?
The expert received the following certifications: Certified Financial Planner (Cfp), Accredited Investment Fiduciary (Aif), and Certified Securities Compliance Professional (Cscp).
Are there any industries, that Craig Watanabe works in?
Craig works in Financial Services industry.