Joseph L.

Joseph L. has an extensive background in compliance and operations within the financial industry. Joseph started their career at Banc of America Securities and Montgomery Securities, then moved on to positions at UNX, Lehman Brothers, Barclays Investment Bank, and AllianceBernstein. Joseph served as Managing Director and Chief Compliance Officer at Guggenheim Partners before holding the role of Chief Compliance Officer - US at capital.com. Currently, Joseph L. is the Head of Compliance at Octaura and an Adjunct Professor at Fordham University School of Law.

Joseph L. earned a B.B.A in Finance from Pace University, Lubin School of Business from 1985 to 1988. Joseph also obtained certifications in Series 24, Series 63, Series 7, and Series 8 from FINRA.