Charles K.
Associate Principal Examiner at FINRA
📍 Hoboken, New Jersey, United States
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Experience
24 Years
Current Role
Associate Principal Examiner
Job Level
Senior
Location
Hoboken, New Jersey, United States
Personality Overview
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Priorities
Topics Charles cares about
Strategic Priorities
Topic insights and context to help personalize outreach and discovery conversations.
Career
Work history
3-2024
Associate Principal Examiner
FINRA
7-2020 - 10-2022
Chief Risk Officer / Partner
Confluence Global Capital LLC
7-2016 - 1-2019
Head Natural Gas Trader
DV Trading LLC
12-2011 - 6-2016
Managing Partner
First New York Securities
8-2009 - 6-2016
Futures Desk Head
First New York Securities
In the press
Media appearances
Media appearances and press coverage highlighting public visibility and thought leadership.
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Education
1997 - 1999
Master of Engineering (MEng)
Rice University
1997 - 1999
Master of Business Administration (MBA)
Rice Business
1993 - 1997
Bachelor of Science (BS)
Harvey Mudd College
Social presence
Other FINRA Employees
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