Profile
Ms. Denise Evans is Chief Compliance Officer at Antaeus Capital, Inc. She joined Antaeus Capital in August 2008.
She has several years of experience in the financial services industry, serving all of those years in either a regulatory or compliance & legal capacity.
In 1995, she began her career in the securities industry in the Los Angeles District office of FINRA.
She worked there for a little over 6 years, first as a senior investigator conducting regulatory investigations of complex sales practices and cause matters, and subsequently as a supervisor of a sales practice investigation unit.
While at FINRA, she served for two years as FINRA's representative on a local Joint Regulatory Task force comprised of federal and local law enforcement agencies as well as several FINRA national task forces that developed procedures, training materials and tutoring programs for FINRA's examining staff.
In 2001, Ms. Evans left FINRA to serve as chief compliance officer and general counsel for 7 years at a regional full service independent contractor broker dealer and investment advisory firm where she was responsible for handling all of the firm's compliance, regulatory and legal programs.
She has given presentations on the topics of anti-money laundering, broker-dealer regulation and securities law at local industry conferences and law school symposiums.
Prior to her entering the financial services industry, Ms. Evans was in private practice for 10 years, concentrating in the areas of civil litigation, entertainment and intellectual property law.
She holds a B.A.
in Political Science from Wellesley College and a J.D.
from UCLA School of Law.
She also holds the following securities licenses: Series 7, 79, 24, and 53.
Former positions of Denise Evans
Companies | Position | End |
---|---|---|
Antaeus Capital, Inc.
Antaeus Capital, Inc. Investment Banks/BrokersFinance Founded by Cesar Moya, Antaeus Capital, Inc. is a full-service investment banking firm and independent broker/dealer located in Los Angeles, California. The firm offers equity and debt financing, as well as advisory services for mergers, acquisitions and private placements. Though not limited by sector, Antaeus Capital tends to focus on the following industries: pharmaceuticals, biotechnology, healthcare, energy, financial services, technology, Internet-based services, wireless communications and software. | Corporate Officer/Principal | - |
Associated Financial Group, Inc.
Associated Financial Group, Inc. Miscellaneous Commercial ServicesCommercial Services Associated Financial Group, Inc. provides financial services. It operates primarily through securities broker and dealer Associated Securities Corp. The company was founded in 1982 and is headquartered in Los Angeles, CA. | General Counsel | - |
Training of Denise Evans
Wellesley College | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
Private companies | 2 |
---|---|
Associated Financial Group, Inc.
Associated Financial Group, Inc. Miscellaneous Commercial ServicesCommercial Services Associated Financial Group, Inc. provides financial services. It operates primarily through securities broker and dealer Associated Securities Corp. The company was founded in 1982 and is headquartered in Los Angeles, CA. | Commercial Services |
Antaeus Capital, Inc.
Antaeus Capital, Inc. Investment Banks/BrokersFinance Founded by Cesar Moya, Antaeus Capital, Inc. is a full-service investment banking firm and independent broker/dealer located in Los Angeles, California. The firm offers equity and debt financing, as well as advisory services for mergers, acquisitions and private placements. Though not limited by sector, Antaeus Capital tends to focus on the following industries: pharmaceuticals, biotechnology, healthcare, energy, financial services, technology, Internet-based services, wireless communications and software. | Finance |
- Stock Market
- Insiders
- Denise Evans