Nina Karbaum, Cfp®
About Nina Karbaum, Cfp®
Nina Karbaum, CFP®, serves as an Associate Principal Examiner at FINRA, bringing extensive experience in financial services and compliance from her previous roles at Goldman Sachs and BB&T Scott & Stringfellow.
Current Role at FINRA
Nina Karbaum serves as an Associate Principal Examiner at FINRA, a position she has held since 2022. In this role, she is responsible for overseeing compliance and regulatory examinations within the financial services industry. Her work involves evaluating firms' adherence to regulatory standards and ensuring that they operate within the established guidelines. The position is based in the Dallas-Fort Worth Metroplex.
Previous Experience at Goldman Sachs
Nina Karbaum has held multiple roles at Goldman Sachs. She worked as a Regional Compliance Manager from 2019 to 2020 in the Dallas/Fort Worth Area, where she focused on compliance strategies and risk management. Following this role, she served as Vice President from 2020 to 2022, further enhancing her expertise in compliance and regulatory matters within a leading financial institution.
Career at BB&T Scott & Stringfellow
Nina Karbaum's tenure at BB&T Scott & Stringfellow spanned several positions. She began as a Registered Client Service Associate from 2014 to 2015 in the Richmond, Virginia Area. She then advanced to Branch Operations Manager from 2016 to 2017 and later became the PCG Assistant Complex Manager from 2017 to 2019, both roles based in the Dallas/Fort Worth Area. These positions allowed her to develop a strong foundation in client services and operational management.
Educational Background in Finance
Nina Karbaum studied at the University of Florida - Warrington College of Business, where she earned a Bachelor of Science (B.S.) in Finance from 2007 to 2011. She furthered her education at Kaplan University, focusing on Financial Planning and Services, and achieved the status of Candidate for CFP® certification from 2015 to 2016. This educational background has equipped her with the knowledge necessary for her roles in the financial services industry.
Early Career Experience
Nina Karbaum began her career in finance at B&C Financial as an Assistant Investment Manager from 2012 to 2013 in Ponte Vedra Beach, FL. She then transitioned to Thompson Davis & Co. as a Business Development Manager from 2013 to 2014 in Richmond, Virginia. These early roles contributed to her understanding of investment management and business development within the financial sector.