Ken Muraoka

Ken Muraoka, CRCP has a range of experience in the financial industry. Ken started their career in 1998 as the Manager of Tax Reporting at J.C. Bradford & Company. From there, they moved to LPL Financial where they worked as the Vice President of Operations from 2000 to 2005. Following their time at LPL Financial, Ken joined MassMutual Financial Group as the Assistant Vice President of Operations from 2005 to 2007. Ken then moved to AIG Advisor Group where they took on two roles, first as the Senior Vice President of Network Compliance from 2007 to 2011, and then as the Chief Compliance Officer from 2011 to 2013. Next, Ken joined Charles Schwab as the Vice President of AS Risk and Controls from 2013 to 2015. Currently, they hold the position of SVP, Head of Compliance Shared Services at Cetera Financial Group, where they have been since 2015.

Ken Muraoka, CRCP holds a Bachelor of Arts degree in History and Economics from Vanderbilt University, which they obtained from 1989 to 1993. In 2011, they attended The Wharton School for Certified Regulatory and Compliance Professional studies. Additionally, Ken has obtained several certifications from FINRA, including Series 24 General Securities Principal, Series 27 Financial and Operations Principal, Series 7 General Securities Representative, and Series 99 Operations Professional. The specific dates of when they obtained these certifications are not provided.