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Chief Information Security Officer responsible for Information Security Strategy, Information Risk Assessments, FINRA & SEC Compliance as related to Technology enforcement, priavcy compliance, Sarbanes Oxley (SOX) leader and manager for Information Technology, Business Continuity and Disaster Recovery Planning for firm.


SOX Compliance, Information Security strategy, Regulatory Compliance, Business Continuity and Disaster Recovery Planning (BCP and DR Planning), FINRA and SEC broker dealer compliance, privacy compliance. Licenses and Certifications: CISSP FINRA Series 7 (General Securities Representative) FINRA Series 63 (Uniform Securities Agent State Law Registration) FINRA Series 24 (General Securities Principal) CISA December 2009

Work experience

Jun 2004Jul 2009

Chief Information Security Officer (CSO)

Thomas Wesiel Partners

Designed and implemented formal Information Security program for the firm through on-going assessment of risks and putting into action policies and procedures as well as technical controls to minimize highest risks.  The program functions include Information Risk and Privacy assessment, assurance of Compliance with applicable regulations and law, management of network security applications and operations, and Crisis and Business Continuity planning. 

  • Establish, streamline, and maintain firm and Information Technology security policies and procedures.
  • Assess, implement, oversee operations of appropriate technologies for vulnerability assessment and remediation, laptop encryption, network behavior analysis, E-Mail encryption, Text Message logging (for Compliance), Financial Controls Management  (SOX).  On-going assessment and maintenance of content filtering and anti-virus technologies. 
  • On-going assessment of information security and compliance risks to the business and reporting of such risks to IT Steering Committee.
  • Collaborate with Legal and Compliance to ensure the Information Technology function and controls are appropriate for current and upcoming regulation and law.  Ensure technical controls are put into place to backup firm Policy where applicable.  Work with IT Groups to comply with new regulations as they pertain to the business. 
  • Implement and maintain Information Technology Sarbanes-Oxley (SOX) program. 
  • Work with Internal Audit, external auditors, and regulators for review and testing
  • Responsible for Enterprise Business Continuity planning.  Coordination with business units to ensure up to date and accurate business line plans and impact analysis documents.  Oversee on-going maintenance of Information Technology documentation, technology failover planning and implementation to business needs.  Work in partnership with Human Resources and Compliance to create and maintain internal as well as regulatory plans. 
Jun 1999Jun 2004

Director of Engineering Services & Chief Technology Officer

Thomas Weisel Partners

Worked with team to design and build initial technology infrastructure for firm November 1998 for business startup. Responsible for design, implementation, and maintenance of server infrastructure.  Responsible for managing Engineering and Operations related to Network, Server, desktop/laptop systems, Identity and access management group, training group, and Help Desk.  Work with business lines to understand and document technology needs, work with Information Technology to bring together technology solutions with highest priority business technology needs.

  • Work with business units to determine technology and training needs. 
  • Determine technologies for benefit of the business lines needs.
  • Document needs analysis and work with Information Technology to design, test, and implement business technology.
  • Manage team of 45 personnel in Network Engineering and Support, Server Engineering and Support, Desktop/laptop Engineering and Support, Identity and Access Management, Training, and Help Desk Operations areas.
Apr 1996Jun 1999

Principal Consultant

Synectix Systems

Consultant and Project Manager for Synectix Projects including:

  • Participation with Synectix team to Design, implementation, and management of Thomas Weisel Partners network, server, and desktop infrastructure for business launch January, 1999.
  • Design, implementation, and project management of Montgomery Securities Enterprise Electronic Mail systems migration from Macintosh to Microsoft Exchange.
  • Designed and implemented integration plans for Montgomery Securities Enterprise Electronic Mail systems into NationsBank and BankAmerica email systems.
  • Managed project for Applied Materials 16,000 user network Enterprise Electronic Mail integration and migration and assisted on project for enterprise wide SMS deployment.
  • Enterprise Electronic Mail integration for legacy and new email systems for TMJB Law Offices.
Jun 1995Apr 1996

Systems Consultant and Project Manager

Convergent Computing

Consultant and Project Manager for Inacom Projects including:

  • Responsible for management of assessment and implementation of projects for Inacom clients. 
  • Project management for client upgrades as well as new systems. 
  • Design and implement network operating systems and specialized applications for various clients including Alameda County Emergency Operations Center, Alameda County District Attorney's Fraud division, and Alameda County Social Services division.
  • Assist in design, migration, and final implementation for Windows NT domains, Novell Networks, Microsoft Exchange, and SMS Enterprise implementation.
Jun 1991Apr 1995

IT Manager

FLS Insurance Services
  • Technology department manager responsible for Information Technology for Insurance Services spread throughout US.
  • Implement and manage Novell Network Operating Systems, desktop systems, customized Insurance applications, business critical software, and hardware.



General Securities Principal

Series 24 - FINRA Industry Certification

Series 63 - Industry Certification

Series 63 - FINRA Industry Certification


CISSP - Industry Certification

General Securities Representative

Series 7 - FINRA Industry Certification

BS Computer Information Systems

DeVry University