Andrea Joyce Wagner

Actively involved in the financial industry since the early 1980's. Former Executive Vice President, Director of Compliance, Compliance Registered Options Principal, Allied Member NYSE, Member Executive Management Committee, Risk Management Committee and Research Analyst Committee for affiliated NYSE and NASD broker dealers.

Areas of Expertise: Account Analysis, Compliance, Branch Audits, Branch Office Structure and Procedures, Exception Reports, Hiring and Firing Practices, Operations, Restricted Securities, Risk Management, Advertising, Continuing Education, Written Supervisory Manuals, Compliance Manuals, Customer Account Forms and Agreements, Broker Dealer Internal Documents, Margin, Misrepresentation, Options, Customer Complaints, Restricted Securities, U4, U5, BD, ADV - FINRA, SEC and State Registration, Selling Away, Supervision, Suitability, Cost to Equity, Turnover, Unauthorized Trading.

Experience

January 2009, formed ARC Valuations, LLC:  Services include historical pricing and valuation of stocks and bonds for estate and
tax filings and valuations of restricted securities on publicly traded companies.

July 2002, formed ARC Analytics, LLC: Developed proprietary software that analyzes the activity in investment accounts. Services include analysis of customer account activity, statements and other documents  use in the preparation of performance and analytical reports, pro forma (benchmark comparison), asset allocation and special reports. Consultant to the financial industry, lawyers, accountants and investors.  Expert Witness.

January 2002, formed ARC Management Group, LLC: Consulting Firm specializing on the internal procedures of broker dealers. Consultant and Expert Witness.

June 2001 through December 2001: Managing Director, Director of Sales Supervision for First Union Securities Financial Network, Inc.

January 2001 through June 2001: Managing Director, Director of Compliance, Compliance Registered Options Principal for First Union Securities Financial Network, Inc.

November 1985 until December 31, 2000 : Executive Vice President, Director of Compliance, Compliance Registered Options Principal and Member Executive Management Committee, Risk Management Committee and Research Analyst Committee for JW Genesis affiliated NASD and NYSE broker dealers. Allied Member of the NYSE 1994 to 2001. Advised Chairman and Management Committee on firm acquisitions and strategies. Integrated transition of acquisitions both retail and institutional into our firm and to the new clearing firm in 1998, 1999, 2000 and 2001.
 

Professional Licenses held through January 2004

  • Series 7 - General Securities Representative - 1983
  • Series 63 - Uniform Securities Agent - 1984
  • Series 24 - General Securities Principal - 1984
  • Series 8 - NYSE Branch Office Manager/ NASD General Securities Sales Supervisor - 1991
  • Series 4 - Registered Options Principal - 1984
  • Series 27 - Financial and Operations Principal - 1986
  • Series 14 - NYSE Compliance Official - 1992

Professional Associations, Seminars and Speaking Events

  • 1999 and 2000, SIA Self Regulation and Supervisory Committee
  • 1999, Crystal Slipper Award, Woman Executive of the Year - Palm Beach County
  • Member - National Association of Compliance Professionals
  • Moderator of seminars of industry professionals
  • Speaker Nationwide at Compliance Seminars
  • 2003 Speaker PIABA conference
  • 2003-2004 Author of articles on various Compliance Issues
  • 2007-present, Member Securities Expertsí Roundtable (SER)

Community Service

1997 and 1998
Board of Directors - Aid to Victims of Domestic Abuse (AVDA)
1999
Advisory Board - Aid to Victims of Domestic Abuse (AVDA)

 

 

 

20960 Blanca Terrace, Boca Raton, Florida 33433     Telephone: 561.852.1936
 


 Updated FEBRUARY, 2009