Name variants:
Helena Kerz,
Elena Kerz,
Ellen Kerz,
Nell Kerz,
Nellie Kerz,
Nelly Kerz,
Ellie Kerz,
Elly Kerz,
Lena Kerz,
Lala Kerz,
Lally Kerz,
Lallie Kerz
Contact Information
Last Update
Jul 9, 2022
Email
hk**@geocities.com
Location
Albuquerque, NM
Company
Workplace
Compliance Consultant Working Remotely
Westlake Village, CA
Industry
Financial Services
Colleagues
Work History
Compliance Consultant Working Remotely
4510 east Thousand Oaks Blvd, Westlake Village, CA 91362
Reviews and approves alternative investments, variable annuities, 529 plans and indexed annuities
Processes daily NFS trade exception report and notates review and final approval
Reviews ...
Apr 2017 — Aug 2017
Compliance and Operations Analyst
155 east Shaw Ave SUITE 102, Fresno, CA 93710
SCF is an independent, boutique broker-dealer and SEC-registered investment advisor that empowers advisors with its custodian-neutral environment, a relationship with an industry-leading cle...
Jun 1, 2016 — Jan 2017
Compliance Analyst and Senior Transition Relationship Manager and Specialist In Osj Supervison
200 north Sepulveda Blvd SUITE 1300, El Segundo, CA 90245
Cetera Advisor Networks LLC is an independent broker-dealer and registered investment adviser (RIA) firm that supports regional teams through local service, regional offices and a national h...
Feb 2011 — May 2013
Registered Principal and Operations Manager
888 north Nash St, El Segundo, CA 90245
Proactively resolved clients' issues prior to them escalating to written complaints. Supervised and audited Xceed Financial's Advisors across three states. Converted Investment Services over...
Dec 2007 — Feb 2011
Education
1995 — 1997
Occupations
Executive
Manager
Counselor
Director of Quality Control
Accountant
Finance and Accounting Specialist
Operations Manager
Advisor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Skills
Series 7
Financial Services
Investments
Mutual Funds
Series 24
Series 63
Securities
Retirement
Finance
Investment Advisory
Finra
Uniform Combined State Law
Strategic Planning
Series 9
Series 10
Series 66
Series 51
FAQs about Helen Kerz
What is the main profession of Helen Kerz?
This professional's job is Osj Manager
What are the profession of Helen?
These person's professions are Executive and Manager
Where does Helen Kerz currently live?
Albuquerque, New Mexico is the place where Helen Kerz currently lives
Does Helen have the email address?
hk**@geocities.com is Helen Kerz's email address.
How many companies did Helen Kerz work at?
Helen Kerz worked at five jobs.
What education does Helen Kerz have?
Helen studied at the Saddleback College from 1995 to 1997.
What is the industry that Helen Kerz worked in?
Helen Kerz works in Financial Services industry.
What are special skills of Helen Kerz?
This person has such skills as Series 7, Financial Services, Investments, Mutual Funds, Series 24, Series 63, Securities, Retirement, Finance, Investment Advisory, and Finra.