Cathleen ( Seneca) DePasqualeCertified Regulatory Compliance Professional/Senior Consultant
Greater Pittsburgh Area
Certified Regulatory Compliance Professional/Senior Consultant
Council Member
CEO/President, CFO, CCO and SROP
CRCP Consultant
CCO of E*TRADE Clearing
MD/CVO/Senior Registered Option Principal
CCO/Regulatory Director for Fleet Trading 04 to10/2001
CCO/First VP/Executive Committee of Management/Municipal Principal
President/Chief Compliance Officer/Municipal Principal/Compliance Registered Option Principal
CCO/Compliance Registered Option Principal
Sales/Marketing Representative
Corporate Vice President - Regional Compliance Manager
The Wharton School FINRA Institute
Recommendations: 1
Supervisory Analyst of Research Reports
Expert Witness
Financial Services
FINRA Series 3, 4, 5, 7, 8, 14, 14A, 15, 24, 27, 53, 55, 63, 65 and 87
Equities
Control Room
Hedge Funds
Options