Brian Dennen
Chief Compliance Officer at Independent Financial Group, LLC | San Diego, California, United States
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Chief Compliance Officer at Independent Financial Group, LLC in August 2024 to Present
Senior Regulatory Compliance and Financial Operations Professional at Compliance Risk Concepts (CRC) in November 2023 to August 2024
SVP | Finance, Clearing Operations, Risk and Compliance at LPL Financial in January 2020 to January 2023
Senior Compliance Director, Ally Invest at Ally in January 2016 to January 2020
Chief Executive Officer, Chief Compliance Officer, FinOp, AMLCO of Wealthfront Brokerage Corporation at Wealthfront Inc. in January 2012 to January 2016
Managing Director, Chief Compliance Officer, FinOp, AMLCO, at Livevol Inc in January 2009 to January 2012
Managing Director, Chief Compliance Officer, FinOp, AMLCO at Urchin Capital Partners in January 2006 to January 2007
Institutional Equity Sales at Terra Nova Trading in January 2004 to January 2006
Chief Compliance Officer, Controller, and FinOp at Redwood Trading LLC in January 2002 to January 2004
Compliance Manager at Mr. Stock, Inc in January 1999 to January 2002
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UC San Diego, Management Science, January 1995 to January 1998
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Compliance Consulting
CFTC
Public Communications
Financial Reporting
Securities Exchange Act of 1934
Securities
FINRA
Trading
Internal and External Communications
Investment Advisers Act
External Communications
Compliance Training
Accounting
Equity Derivatives
Auditing
Regulatory Filings
Project Teams
Professional Services
Client Delivery
Brokerage
Options
Equities
Series 7
Hedge Funds
Investment Banking
Financial Advisory
Investments
Electronic Trading
Finance
Financial Markets
Series 24
Derivatives
Private Equity
Fixed Income
Trading Systems
Asset Allocation
Portfolio Management
Investment Advisory
Alternative Investments
Equity Trading
Capital Markets
Asset Management
Wealth Management
Management
Financial Services
Leadership
Start-ups
Regulatory Compliance
Compliance Oversight
Broker-Dealer
Bank Secrecy Act
Regulatory Requirements
Anti Money Laundering
Internal Controls
Investment Management
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Discover more about Independent Financial Group, LLCWhat is Brian Dennen email address?
Email Brian Dennen at [email protected] and [email protected]. This email is the most updated Brian Dennen's email found in 2025.
How to contact Brian Dennen?
To contact Brian Dennen send an email to [email protected] or [email protected].
What company does Brian Dennen work for?
Brian Dennen works for Independent Financial Group, LLC
What is Brian Dennen's role at Independent Financial Group, LLC?
Brian Dennen is Chief Compliance Officer
What is Brian Dennen's Phone Number?
Brian Dennen's phone (213) ***-*375
What industry does Brian Dennen work in?
Brian Dennen works in the Financial Services industry.
Brian Dennen Email Addresses
Brian Dennen Phone Numbers
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