Wealth Compliance Leaders featuring Craig Watanabe, Director of IA Compliance at DFPG Investments LLC

https://is1-ssl.mzstatic.com/image/thumb/Podcasts125/v4/e5/8b/06/e58b0626-08dd-7db7-020f-046b556e54ff/mza_9655295355834235590.jpg/600x600bb.jpg

Wealth Compliance Leaders

InvestorCOM Inc.

26 episodes

1 day ago

Wealth Compliance Leaders features exceptional leaders from the wealth management industry. In this series, we speak with senior industry, regulatory, and technology executives to discuss wealth management and compliance challenges. This series is hosted by InvestorCOM, a provider of regulatory software solutions for wealth managers, asset managers and insurers. For more information, visit www.investorcom.com or contact us at hello@investorcom.com

Technology

RSS

All content for Wealth Compliance Leaders is the property of InvestorCOM Inc. and is served directly from their servers with no modification, redirects, or rehosting. The podcast is not affiliated with or endorsed by Podjoint in any way.

Technology

https://d3t3ozftmdmh3i.cloudfront.net/production/podcast_uploaded_nologo/13053840/13053840-1631892958600-0735f1fc9b97c.jpg

Wealth Compliance Leaders featuring Craig Watanabe, Director of IA Compliance at DFPG Investments LLC

Wealth Compliance Leaders

14 minutes 17 seconds

2 years ago

Wealth Compliance Leaders featuring Craig Watanabe, Director of IA Compliance at DFPG Investments LLC

In this episode, we interviewed Craig Watanabe, Director of IA Compliance at DFPG Investments LLC.

Craig entered the securities industry in 1983 and he has had a very successful career as a financial planner, branch manager, Chief Operating Officer and Chief Compliance Officer. Craig dedicates his time to advancing the wealth management and compliance profession.

A very interesting and insightful discussion that you won't want to miss.

== For more information ==

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

LinkedIn: https://www.linkedin.com/company/investorcominc