- Short Bio:Mr. Burkett began his securities industry career in 1993 as a Securities Fraud Investigator for the State of Arizona Securities Division, working exclusively on fraud cases involving broker-dealers. Later, at a FINRA member firm, he was responsible for supervising Producing Branch Managers and Field Representatives as the Field Compliance Director. Throughout his tenure with FINRA, Mr. Burkett has held positions ranging from Compliance Examiner, responsible for examining FINRA member firms for general compliance, to District Director, responsible for the management and oversight of the regulatory programs within the Denver and Seattle district offices. In addition to his regulatory responsibilities, Mr. Burkett earned his Certified Regulatory and Compliance Professional designation through the FINRA Institute at Wharton in March of 2005, and has developed content and presented at several FINRA Institute class offerings.
March 9, 2021, 14:00
Regulatory Interchange Webinar featuring FINRA
- July 24, 2020, 10:15