ABOUT    

Over 45 years of business experience in banking, investments, insurance, consulting, including CEO of companies ranging $20M to $20B annual sales, operating in US and international markets on consumer and institutional platforms.

  • Certified Fraud Examiner - Retired, Association of Certified Fraud Examiners 
  • Legal Investigation Certificate, University of Arizona
  • Alternative Dispute Resolution Certificate, Purdue University 
  • Investment Management Analyst Certificate, University of Pennsylvania 
  • Investment Adviser Compliance Certificate, NRS/Investment Adviser Association 
  • Arbitrator Chairperson Training Certificate, NASD Institute 
  • Anti-Money Laundering Certificate, New York Institute of Finance  
  • Former FINRA series 6, 7, 24, 26, 39, 63, 65, 66, 79 registrations, commodities, insurance
  • BA Philosophy, University of California, Irvine

Representative engagements include business, asset, and risk management, fraud and forensic review, business and financial planning, growth and exit strategies, root cause analysis, performance management, mediation, M&A and financial due diligence. 
    

 
The pursuit, even of the best things, ought to be calm and tranquil.   Cicero

 

Location 

Carmel Valley CA        

Call

4152908484
 

Contact

tom at tpkco dot com

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Copyright  

2013-19 TK ARR