Tim Halevan Joins FINRA District Committee
MADISON, Wis. – Tim Halevan, chief compliance officer of CUNA Brokerage Services, Inc. (CBSI), has been elected to the Financial Industry Regulatory Authority (FINRA) District Committee for District 4.
“This is quite the honor for Tim and our organization,” said Jim Metz, president and CEO, CBSI.
As a FINRA district committee member, Halevan will contribute to the regulatory process by, among other things, serving as a panelist in disciplinary proceedings in accordance with FINRA rules; considering and recommending policies and rule changes; and educating FINRA members and others about the purposes and work of FINRA and FINRA Regulation (Source: About FINRA, Dec. 14, 2012, http://www.finra.org/AboutFINRA/).
Halevan is CBSI’s chief compliance officer. He is responsible for strategic oversight and supervision of the compliance activities of CBSI's registered representatives, advisors, licensing/registration, and home office activities, Metz said.
Halevan joined CBSI in 2001. Previously, he was director of corporate compliance at a large financial services holding company. Halevan’s previous responsibilities included oversight for adherence to the various rules and regulators related to the activities of underlying companies of that organization including the Securities and Exchange Commission (SEC), Financial Regulatory Authority (FINRA), Violent Crime and Control Act, the Gramm-Leach-Bliley Act and Federal Sentencing Guidelines.
Halevan has been in the securities business for 20 years; starting as a broker at PaineWebber. He graduated from the University of Michigan in Ann Arbor with a Bachelor of Arts degree in economics and communications. He also holds 7, 63, 65, and 24 registrations.
FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly (Source: About FINRA, December 14, 2012, http://www.finra.org/AboutFINRA/).
CUNA Brokerage Services, Inc. is the leading broker/dealer serving the credit union market. CBSI has more than 250 credit union programs, 400 active advisors, with more than $2.3 billion in mutual fund, annuity and managed account sales, and more than $136 million in annual revenue. We are proud of the important role CUNA Brokerage Services, Inc., an affiliate of CUNA Mutual Group, has played over the years.
Representatives are registered, securities are sold, and investment advisory services offered through CUNA Brokerage Services, Inc. (CBSI), member FINRA/SIPC, a registered broker/dealer and investment advisor, 2000 Heritage Way, Waverly, Iowa 50677, toll-free 866.512.6109. Non-deposit investment and insurance products are not federally insured, involve investment risk, may lose value and are not obligations of or guaranteed by the financial institution. CBSI is under contract with the financial institution, through the financial services program, to make securities available to members.
CUNA Mutual Group insurance, retirement and investment products provide financial security and protection to credit unions and their members worldwide. With more than 75 years of true market commitment, CUNA Mutual Group’s vision is unwavering: To be a trusted business partner who delivers service excellence through customer-focused products and market-driven insight. More information on the company is available on the company’s website at www.cunamutual.com.
For more information on CUNA Mutual Group, follow @CUNAMutualGroup on Twitter, circle +CUNA Mutual Group on Google+, or visit www.cunamutual.com/pressroom.
CUNA Mutual Group is the marketing name for CUNA Mutual Holding Company, a mutual insurance holding company, its subsidiaries and affiliates. Life, accident, health and annuity insurance products are issued by CMFG Life Insurance Company. Property and casualty insurance products are issued by CUMIS Insurance Society, Inc. Each insurer is solely responsible for the financial obligations under the policies and contracts it issues. Corporate headquarters are located in Madison, Wisconsin.