Mr. Shipp has 30 years of experience as a financial services compliance specialist supporting Institutional Retail Brokerage, Banks, Hedge Funds, Trust Companies, Thrifts, Registered Investment Advisors, Market Makers, and diversified financial institutions. He has led Compliance departments at Security Settlements Corp, Citibank, ADP, and SunGard, overseeing a range of capital markets products and regulatory reporting systems. His expertise includes Anti-Money Laundering, Trade Reporting, Written Supervisory Procedures, Regulatory Approval for new broker dealers, and extensive financial services vendor knowledge.

Licenses acquired: Series 4, 7, 14, 24, and 63.