Lad Dullum
About Lad Dullum
Lad Dullum serves as a Principal Examiner at FINRA, where he has worked since 2007, contributing to the organization's regulatory efforts from both Dallas, TX, and Chicago, IL.
Work at FINRA
Lad Dullum has been employed at the Financial Industry Regulatory Authority (FINRA) since 2007. In his role as Principal Examiner, he is responsible for overseeing compliance and regulatory matters within the financial industry. His work involves assessing the practices of various financial institutions to ensure adherence to established regulations. Dullum has worked in multiple locations, including Dallas, TX, and Chicago, IL, contributing to FINRA's mission of protecting investors and maintaining market integrity.
Professional Experience
With over 17 years of experience at FINRA, Lad Dullum has developed a deep understanding of regulatory frameworks and compliance requirements in the financial sector. His position as Principal Examiner requires a thorough analysis of financial practices and the implementation of regulatory standards. Dullum's extensive tenure at FINRA highlights his commitment to the financial services industry and his role in fostering a compliant environment.
Background
Lad Dullum has a significant background in regulatory examination and compliance within the financial industry. His career at FINRA has allowed him to gain valuable insights into the operational aspects of financial institutions. Dullum's experience spans various regions, specifically in Dallas, TX, and Chicago, IL, where he has contributed to the enforcement of financial regulations.