About me

Over 20 years of experience in the Compliance arena working directly for various Broker Dealers, Hedge Funds and Investment Advisors or in consulting roles for each. During my 30 plus years working in the Brokerage environment I have worked within various departments and gained knowledge and experience in most areas of the business including AML in each. Additionally, I have knowledge specializing in alternative products and Private Placements. 

  Areas of Expertise

• CCO/FINOP/POO/PFO Outsourcing
• FOCUS Filing
• CFO
• AML/AML Audits/Reviews
• Branch Audits
• 15a-6 Compliance
• Private Placements
• Regulatory Compliance
• International Compliance (UK & Russia)
• Institutional Sales Supervision
• Management / Team Development
• Strategic Planning / Execution s FINRA Applications /Amendments
• Trader / Back Office Relationships/Audits
• Research Review
• Senior Management Interaction

Current Industry Registrations ♦ Series 7, 14, 24, 27, 53, 63