Steve G. Shipp Consulting Services

 

Steve's career in financial services began in 1989 when he joined an investment banking firm in Denver to train with seasoned stockbrokers and received his Series 7.  His career path then led him to one of the pioneers in the investment advisory business - PlanMember Services.  Steve has also worked with the highly respected investment firm A.G. Edwards & Sons, Prudential Insurance, Financial Network Investment Corp., and Foothill Securities.

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Being a life-long learner, Steve has frequently sought out new experiences in financial services, including direct prospecting & sales, sales management, program management within a financial institution, compliance, operations, and general management.

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In 2013, Steve completed the Certified Regulatory and Compliance Professional (CRCP) Program at the FINRA Institute at Wharton, at the University of Pennsylvania in Philadelphia. The CRCP program delivers a comprehensive and rigorous course of instruction on the foundation, theory and practical application of securities laws and regulations.

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Steve holds the Series 7, 24, 63, 65, 53, 79, 99 and California insurance for life, health & disability.

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Experience

 

• Chief Compliance Officer

• AML Compliance Officer

• Municipal Securities Principal

• General Securities Principal

• Performed hundreds of branch inspections

• Coordinated and responded to firm's response to dozens of regulatory requests (cycle exams, targeted inquiries, special requests)

• E&O insurance policy evaluation

• Direct sales and sales supervision

• Operations management