Danny P.
About Danny P.
Danny P. is a Securities Compliance Examiner at the U.S. Securities and Exchange Commission, where he has worked since 2016. He previously held positions at FINRA, Prudential Financial, and Citi, and he studied Finance at Montclair State University.
Work at U.S. Securities and Exchange Commission
Danny P. has been employed at the U.S. Securities and Exchange Commission (SEC) as a Securities Compliance Examiner since 2016. In this role, he is responsible for ensuring compliance with federal securities laws and regulations. His work involves examining financial records, conducting investigations, and assessing the practices of various financial institutions to maintain market integrity. He is based in San Francisco, CA.
Previous Experience at FINRA
Prior to joining the SEC, Danny P. worked at the Financial Industry Regulatory Authority (FINRA) as a Principal Investigator from 2006 to 2016. During his ten years at FINRA, he conducted investigations into compliance issues and contributed to regulatory oversight within the financial industry. His role involved analyzing complex financial data and collaborating with other regulatory bodies.
Background in Financial Analysis
Danny P. has a background in financial analysis, having worked as a Senior Financial Analyst at Prudential Financial for a brief period in 2005 to 2006. In this role, he was involved in financial reporting and analysis, providing insights that supported decision-making processes within the organization. He also served as a Fund Accountant II at Citi from 2004 to 2005, where he managed financial records and ensured accurate reporting.
Education and Expertise
Danny P. is pursuing a Bachelor's Degree in Finance from Montclair State University, a program he has been enrolled in since 2004. His education provides him with a strong foundation in financial principles, investment strategies, and regulatory compliance, which are essential for his roles in the financial sector.