Rob Gleason
About Rob Gleason
Rob Gleason serves as the VP of Capital Markets Compliance at Wedbush Securities, bringing over 25 years of experience in regulatory and financial institution compliance. He has a strong background in equities compliance and has held various roles at Jefferies & Company prior to his current position.
Work at Wedbush Securities
Rob Gleason serves as the Vice President of Capital Markets Compliance at Wedbush Securities. He has been in this role since 2022, contributing to compliance efforts within the organization. His position is based in the New York City Metropolitan Area, where he applies his extensive experience in regulatory compliance to ensure adherence to industry standards and regulations.
Previous Experience at Jefferies & Company
Before joining Wedbush Securities, Rob Gleason worked at Jefferies & Company for 22 years. He held the position of Senior Equity Sales and Trading Compliance Officer from 2000 to 2007, followed by a role as Senior Vice President, Equity Sales Supervisor from 2007 to 2022. His tenure at Jefferies allowed him to develop a strong foundation in equities compliance and sales supervision.
Education and Expertise
Rob Gleason earned a Bachelor of Science degree in Finance from Fairleigh Dickinson University, where he studied from 1991 to 1995. He also attended Old Dominion University from 1989 to 1991. His educational background, combined with over 25 years of experience in regulatory and financial institution compliance, positions him as an expert in sales and trading compliance.
Licenses and Certifications
Rob Gleason holds multiple financial licenses, including Series 4, 7, 24, 55, and 63. These licenses demonstrate his qualifications and expertise in various aspects of financial compliance and regulation, enabling him to navigate the complexities of the financial industry effectively.
Industry Knowledge and Technical Proficiency
Rob Gleason possesses extensive industry knowledge, including familiarity with SEC, FINRA, AML, OATS, KYC, NASDAQ, NYSE, and OTC regulations. He is proficient in technical tools such as Bloomberg, Thompson Reuters, FactSet, MS Excel, MS Word, ComplySci, and Adobe, which support his compliance efforts and enhance his organizational skills.