Douglas A. Wright, CCO of The Investment Center, Inc. Elected to FINRA Committee
(firmenpresse) - BEDMINSTER, NJ -- (Marketwired) -- 12/17/14 -- (TIC), an independent broker-dealer for financial services professionals, is proud to announce that its' Chief Compliance Officer, , was elected to serve on the Financial Industry Regulatory Authority (FINRA) District Committee. Mr. Wright will serve on District 9 and will represent the mid-size broker-dealer firms for a three-year term beginning January 1, 2015. Mr. Wright is a Certified Regulatory and Compliance Professional™ and holds FINRA Series 7, 63, 24, 4, and 27 licenses.
"I am honored to represent the mid-size broker-dealers of District 9. I look forward over the next three years to provide FINRA member input in its policies and rule making considerations, help educate member firms of FINRA's mission to protect investors and serve on disciplinary panels as needed," Doug commented. "For self-regulation to work effectively, it is critical to have member firms participate in the rule making process by providing valuable feedback while understanding investor concerns."
FINRA recently concluded elections to fill vacant seats on the Small Firm Advisory Board (SFAB), National Adjudicatory Council (NAC) and district committees. These individuals elected to fill vacant seats on the SFAB, and those elected and appointed to the NAC and district committees for terms beginning January 1, 2015 -- view .
"Everyone at The Investment Center is very proud that Doug was elected to the Committee," stated , president and CEO. "He has over 22 years of compliance experience and has been with our firm since 2001. Every day he strives for excellence and promotes ethical behavior to our advisors, clients and employees. To give back to your community and donate time to fill a seat on this Committee shows Doug's dedication to the financial services industry. We are proud of his achievement."
Established in 1986, The Investment Center, Inc., is an independent broker-dealer with over $6.2 billion in assets under management. (Member FINRA/SIPC) based in Bedminster, NJ serving approximately 300 financial advisors. For more information about TIC, visit , five time winner of the "Broker-Dealer of the Year" award.*
*Based on a poll of registered representatives and advisors conducted by Investment Advisor magazine. Broker-Dealers rated highest by their representatives are awarded "Broker-Dealer of the Year."
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Kimberly A. Branch, CFP(R)
Chief Marketing Officer/Media Relations
The Investment Center, Inc.
800.345.8041
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Datum: 17.12.2014 - 18:12 Uhr
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