Alan Wagner

Alan Wagner

Chief Compliance Officer, Research Principal & Operations Manager at Liberum Capital Inc.
New York, New York, United States

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Work Experience

Liberum

Chief Compliance Officer, Research Principal & Operations Manager

Present

APW Brokerage Solutions LLC

Managing Member

2012-03-01 - Present

Liberum Capital Inc.

Chief Compliance Officer & Operations Manager

2011-09-01 - Present

Modern Regulatory Services LLC

Compliance Consultant

2006-10-01 - 2011-09-01

HSBC Securities Inc.

Branch Admin. Manager

2005-06-01 - 2006-10-01

Buchanan Associates Inc.

Compliance Consultant/AVP

2002-05-01 - 2005-06-01

Skills

investment banking equities investment management direct lending expert access corporate broking

Languages

No Languages Available