Jacqueline Thompson
About Jacqueline Thompson
Jacqueline Thompson is a Supervisory Analyst and Vice President at Wedbush Securities, where she has worked since 2011. She holds a BA from Barnard College and has extensive experience in compliance and financial services, including previous roles at MadisonWilliams & Co., Weeden & Co., and Banc of America Securities.
Work at Wedbush Securities
Jacqueline Thompson has held the position of Supervisory Analyst and Vice President at Wedbush Securities since 2011. In her role, she focuses on compliance and regulatory oversight, ensuring that the firm adheres to industry standards. Her responsibilities include monitoring public appearances and conference calls in accordance with FINRA 2210 regulations. Additionally, she is involved in the SA monitoring of Investor Education Calls as part of IPO and secondary roadshow campaigns.
Education and Expertise
Jacqueline Thompson earned her Bachelor of Arts degree from Barnard College. She also obtained a certificate from the College of Westchester. Her educational background, combined with her extensive experience in financial services compliance, equips her with the necessary skills to excel in her role as a Supervisory Analyst.
Background
Before her career in financial services, Jacqueline Thompson had a background in journalism and marketing. This experience provided her with a strong foundation in communication and analysis, which she later applied to her roles in compliance at various financial institutions. She has worked as an independent contractor and Supervisory Analyst at MadisonWilliams & Co. and Weeden & Co. from 2010 to 2011.
Achievements
Jacqueline Thompson holds multiple FINRA licenses, including Series 24, Series 16, 7, and 63. Throughout her career, she has demonstrated expertise in reviewing and approving a wide range of materials, such as PowerPoint presentations, sales force handouts, and financial models. Her experience spans over two decades, including eight years as a Supervisory Analyst and Vice President at Banc of America Securities from 2001 to 2009.