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Securities compliance professionals who have been awarded the CSCP Credential have successfully fulfilled the following certification criteria:
- passed the Certified Securities Compliance Professional (CSCP) examination; and
- earned a Baccalaureate degree from an accredited US college or university (or foreign equivalent thereof) and completion of three (3) years of securities compliance experience; or completion of five (5) years experience in securities compliance; and
- have attested that neither they, nor an organization controlled by themselves, have ever been convicted of, pled guilty or no contest to, a misdemeanor or felony involving investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses.
In order to maintain certification, individuals who earn the CSCP credential are required to comply with the Standards for Maintenance of Continuing Education Units in Certification and NSCP's Code of Ethics.
First |
|
Last |
|
Credential Awarded |
Month |
Year |
| Charles |
R. |
Aikins |
|
January |
2009 |
| Marcus |
N. |
Allen |
|
July |
2008 |
|
|
|
|
|
|
| Stephen |
P. |
Andersen |
|
September |
2009 |
| Michael |
P. |
Atkinson |
|
January |
2009 |
| Lee |
D. |
Augsburger |
|
February |
2010 |
| Marvin |
H. |
Barge |
|
September |
2008 |
| Linda |
F. |
Beckmann |
|
October |
2008 |
| James |
|
Bodovitz |
|
July |
2008 |
| Torstein |
M. |
Braaten |
|
December |
2008 |
| Monica |
M. |
Bullard |
|
June |
2009 |
| Michelle |
L. |
Canela |
|
December |
2008 |
| Kelli |
A. |
Capitano |
|
December |
2008 |
| Christopher |
V. |
Casdia |
|
May |
2009 |
| Harold |
G. |
Chaffee |
|
October |
2009 |
| Zeonia |
M. |
Christy |
|
December |
2009 |
| Christopher |
A. |
Cokinis |
|
August |
2008 |
| Elizabeth |
L. |
Cope |
|
June |
2009 |
| Deborah |
G. |
Cox |
|
January |
2009 |
| Louis |
J. |
Dempsey |
|
September |
2009 |
| Ann |
E. |
DiGiorgio |
|
August |
2009 |
| Elaine |
F. |
Duffus |
|
August |
2008 |
| Phi |
|
Duong |
|
October |
2009 |
| Eric |
M. |
Earnhardt |
|
July |
2008 |
| Patricia |
E. |
Flynn |
|
July |
2008 |
| Edwin |
D. |
Follosco |
|
January |
2009 |
|
|
|
|
|
|
|
|
|
|
|
|
| Bart |
E. |
Gancher |
|
July |
2008 |
| Ellen |
|
Gilbert |
|
December |
2008 |
| Barbara |
L. |
Guzman |
|
July |
2008 |
| Eric |
P. |
Hansen |
|
February |
2009 |
| Sara |
F. |
Herring |
|
October |
2009 |
| Angela |
|
Heyne |
|
July |
2008 |
| Wesley |
Thomas |
Holcomb |
|
September |
2008 |
| Steven |
J. |
Honeyfield |
|
January |
2009 |
| Michelle |
L. |
Jacko |
|
October |
2009 |
| Patricia |
A. |
Janda |
|
December |
2008 |
| Nancy |
|
Johnson Jones |
|
July |
2008 |
| Carolyn |
J. |
Kasky |
|
October |
2008 |
| Judith |
C. |
Keilp |
|
December |
2008 |
|
|
|
|
|
|
|
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|
|
|
|
| Valerie |
Y. |
Lewis |
|
July |
2008 |
|
|
|
|
|
|
| Carolyn |
R. |
May |
|
January |
2009 |
|
|
|
|
|
|
| Bart |
J. |
McDonald |
|
September |
2009 |
|
|
|
|
|
|
| Joann |
|
Paccione |
|
July |
2008 |
| Judith |
A. |
Payuk |
|
July |
2008 |
| James |
J. |
Rabenstine |
|
November |
2008 |
|
|
|
|
|
|
| Mark |
E. |
Ringel |
|
February |
2009 |
| Ramona |
R. |
Ruppert |
|
October |
2008 |
| Meghan |
M. |
Rutkowski |
|
December |
2009 |
| D. Scott |
|
Schilling |
|
October |
2008 |
| Carrie |
M. |
Schoffman |
|
March |
2009 |
| William |
J.F. |
Schretter |
|
September |
2008 |
| Charles |
V. |
Senatore |
|
October |
2009 |
| Emily |
K. |
Silva |
|
July |
2008 |
|
|
|
|
|
|
|
|
|
|
|
|
| James |
A. |
Sommerfield |
Jr. |
June |
2009 |
| Lisa |
|
Sorrentino |
|
February |
2009 |
| Stephen |
M. |
Squire |
|
March |
2009 |
| Jeffrey |
L. |
Sussman |
|
September |
2009 |
| Robert |
S. |
Tull |
III |
February |
2010 |
|
|
|
|
|
|
| Christine |
A. |
Warner |
|
June |
2009 |
| Craig |
R. |
Watanabe |
|
February |
2010 |
| Tracy |
K. |
Webb |
|
January |
2009 |
| Dan |
E. |
Weber |
|
April |
2009 |
|
|
|
|
|
|
| Constance |
|
Wick |
|
August |
2009 |
| James |
M. |
Wilson |
Jr. |
February |
2009 |
| Caroline |
E. |
Wisniewski |
|
July |
2008 |
| Pamela |
K. |
Ziermann |
|
July |
2008 |
|
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