Talk to sales Try for Free
Sonia DeProspero

Sonia DeProspero

Followers of Sonia DeProspero344 followers
location of Sonia DeProsperoWayne, New Jersey, United States

Connect with Sonia DeProspero to Send Message

Connect

Connect with Sonia DeProspero to Send Message

Connect

  • Timeline

  • About me

    Managing Director at Guggenheim Securities

  • Education

    • William Paterson University of New Jersey

      2001 - 2003
      Masters of Arts & Teaching/ Elementary Education

    • Rutgers University–New Brunswick

      1997 - 2001
      Bachelor of Arts (B.A.) Psychology/Spanish

  • Experience

    • Bear Stearns

      Feb 2006 - Oct 2008

      Continuing Education Group - Compliance; Firm Element, Compliance Training Outside Interest Group

      • Compliance Training Analyst

        Dec 2006 - Oct 2008

      • Compliance Analyst

        Feb 2006 - Dec 2006

    • MF Global

      Feb 2009 - Nov 2011
      Central Compliance Officer

      Personal Trading, Employee Outside Business Interests, Private Investments

    • Guggenheim Partners

      Dec 2011 - now

      Former Head of the Employee Activities Group who oversaw the administration of various Code of Ethics and Compliance Manuals related to Personal Trading, Outside Business Activities, and Private Investments. Presently, manager of the Guggenheim Securities Employee Activities Group. Compliance Manager of the Employee Activities Group covering the Firm’s various RIA Code of Ethics and BD Compliance Manuals. Employee Activities Group- Central Compliance Employee Trading Group

      • Managing Director

        Oct 2021 - now

      • Director

        Apr 2017 - Oct 2021

      • Vice President

        Apr 2014 - Apr 2017

      • Senior Compliance Analyst

        Dec 2011 - Apr 2014

  • Licenses & Certifications