Andrea Joyce Wagner
Actively involved in the financial industry since the early 1980's. Former Executive Vice President, Director of Compliance, Compliance Registered Options Principal, Allied Member NYSE, Member Executive Management Committee, Risk Management Committee and Research Analyst Committee for affiliated NYSE and NASD broker dealers.
Areas of Expertise: Account Analysis, Compliance, Branch Audits, Branch Office Structure and Procedures, Exception Reports, Hiring and Firing Practices, Operations, Restricted Securities, Risk Management, Advertising, Continuing Education, Written Supervisory Manuals, Compliance Manuals, Customer Account Forms and Agreements, Broker Dealer Internal Documents, Margin, Misrepresentation, Options, Customer Complaints, Restricted Securities, U4, U5, BD, ADV - FINRA, SEC and State Registration, Selling Away, Supervision, Suitability, Cost to Equity, Turnover, Unauthorized Trading.
January 2009, formed
ARC Valuations, LLC: Services include historical pricing and valuation
of stocks and bonds for estate and
July 2002, formed ARC Analytics, LLC: Developed proprietary software that analyzes the activity in investment accounts. Services include analysis of customer account activity, statements and other documents use in the preparation of performance and analytical reports, pro forma (benchmark comparison), asset allocation and special reports. Consultant to the financial industry, lawyers, accountants and investors. Expert Witness.
January 2002, formed ARC Management Group, LLC: Consulting Firm specializing on the internal procedures of broker dealers. Consultant and Expert Witness.
June 2001 through December 2001: Managing Director, Director of Sales Supervision for First Union Securities Financial Network, Inc.
January 2001 through June 2001: Managing Director, Director of Compliance, Compliance Registered Options Principal for First Union Securities Financial Network, Inc.
November 1985 until December 31, 2000 : Executive Vice
President, Director of Compliance, Compliance Registered Options
Principal and Member Executive Management Committee, Risk Management
Committee and Research Analyst Committee for JW Genesis affiliated NASD
and NYSE broker dealers. Allied Member of the NYSE 1994 to 2001. Advised
Chairman and Management Committee on firm acquisitions and strategies.
Integrated transition of acquisitions both retail and institutional into
our firm and to the new clearing firm in 1998, 1999, 2000 and 2001.
Professional Licenses held through January 2004
Professional Associations, Seminars and Speaking Events
1997 and 1998
20960 Blanca Terrace, Boca Raton, Florida
33433 Telephone: 561.852.1936