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Brian Dennen Email Address

abcdef@wealthfront.com

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Job Title

Senior Vice President, Operations and FINOP Compliance

Company
Wealthfront

Our mission at Wealthfront is pretty simple: we believe that everyone deserves access to sophisticated financial advice. Over the past five years, Wealthfront has built a technology company focused on re-architecting the finance industry

Bio

Product driven FinTech executive with over 17 years of experience scaling businesses by applying technology to wealth management. Extensive experience and knowledge in sales, trading operations, investment products, compliance, policy management, financial accounting and regulatory reporting. Comprehensive understanding of regulatory requirements for SEC registered investment advisors and FINRA member broker dealers. Committed to maintaining the highest ethical standards for clients.Specialties: Investment Advisory Representative, Securities Principal, Investment Advisory and Brokerage Compliance, Investment Company Act of 1940, creating compliance procedures and ethics objectives, licensing and registration, resolving client complaints, arbitration matters, New Member Applications (NMA), Continuing Membership Applications (CMA, FINRA Rule 1017), Financial Operations Principal (FINOP - Series 27), regulatory reporting, financial accounting, continuing education and training, supervision and internal controls analysis, Anti-Money Laundering and Customer Identification Programs, social media policy, advertising and sales literature review, investment banking, research and trading, trade allocation, best execution. Committed to maintaining the highest ethical standards for clients. FINRA Series: 4, 7, 24, 27, 63, 65, 99

Last University
Graduated from University of California San Diego
Location
Based in Kensington.

Other people working at Wealthfront:

Julien WetterwaldChief Technology Officer
David FortunatoNurse and Nursing Home Administrator
Scott WhiteSenior Product Manager
JasonSoftware Engineer
Cece YuDesigner and Advisor
Jeff RosenbergerChief Operating Officer
Barry MalinowskiSenior Group Product Manager
Adam NashVice President, Product and Growth
Christopher MartinezHead of Hong Kong
Rachelr*****@wealthfront.com
Andy Rachleffa*****@wealthfront.com
Martha AlvarezRecruiting Coordinator
Vineet Singhv*****@wealthfront.com
Rebecca GyrLeadership and Recruiting Manager
Keith YeungAndroid Tech Lead
Luisl*****@wealthfront.com
Elizabeth MacbrideFounding Partner
Daniel CarrollFounder and Chief Strategy Officer
Arishma SinghHuman Resources Generalist

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