Dana A. Sherman

Dana A. Sherman
Dana A. Sherman

Dana A. Sherman has joined Bank Rhode Island Investment Services as assistant vice president / compliance officer. He is responsible for overseeing general compliance with securities and related regulations with a focus on establishing and maintaining broker dealer compliance procedures. Sherman will also conduct daily reviews of trading activities, correspondence and advertising/sales literature. He previously worked as senior registered representative and operations manager for Quick & Reilly’s national call center.

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