Chief Compliance Officer, 07/2017 to Current Four Points Capital Partners – New York, New York
Firm with regulatory approval to conduct general Retail Securities, Municipals,Options, Private Placements, Real Estate, Primary Distributions of Limited Partnerships,.Variable Insurance Products.
Achievements/Task Provide Direct Supervision to over 20 RR's in the Wealth Management Division , Retail, and Investment Banking Divisions.
Review and Approve Correspondence, Advertising, Marketing Materials, New Accounts and Trades.
Conduct: Branch Office Inspections, Annual Compliance reviews with RR;s, Annual Compliance Meeting, Trade and Portfolio Monitoring Reviews.
Ensure adherence and retention to applicable FINRA books and records requirements.
Assist in business development efforts through recruitment of new RR's and IA firms, as well as through expansion of business and product lines.
Recruited 7 new RR's and one 5 member IA Team in 2018.
Chief Compliance Officer, 01/2006 to 07/2017 Niagara International Capital Limited – Clarence, New York
Firm with regulatory approval to conduct General Retail, Municipals, Options, Variable Insurance Products, Mergers & Acquisitions, Private Placements As CCO ensured entire firms adherence to FINRA, SEC, and State Law regulatory requirements.
Prepare requisite materials for and represent firm at all FINRA and Internal Audit exams.
Conduct trade reviews and trading surveillance in order to identify possible trading violations or misconduct.
Review Approve advertising materials, marketing materials,new account forms, options transactions, Due Diligence Files for private placements and M&A Transactions.
Along with co-founder grew Broker Dealer from an initial 2 registered persons branch into 17 branches in 6 different states with a total of 70 registered representatives and 9 NRF's.
Producing Branch Manager, 11/1999 to 01/2006 Granite Investment Services/Raymond James Financial – Clarence, NY
Assembled and coordinated a team of financial specialists, a JD/CPA, CFA, and a CMT to deliver a fully integrated consultative approach to High Net Worth Clients.
The following services were provided: accounting: compliance, generational, personal and business credit needs, legal: including tax and estate, portfolio management, insurance: estate, business needs (key man, split dollar etc.) Extensive experience in the development and implementation of fully integrated financial solutions to high net worth clients.
Over 400K in personal production for 2003 and 2004.
Branch was in Top 20% of Raymond James Affiliate Offices.
Compliance Consulting Bay Harbor Advisors.
Managing Partner, 01/2014 to Current Buffalo, New York
Clients include broker-dealers and state and federally registered investment advisers.
Bay Harbor provides consultative services and assistance to various firm's CCO's and GC's with respect compliance matters as well has high-level long-term business planning development.
Additionally, Bay Harbor provides a mechanism so firms may retain the analysis of securities issues by an AMLAW 100 law firm on a per-project basis.
Currently serve as Chief Compliance Officer (CCO) for both Wharton MidMarket Securities LLC, Milford, CT since January 2014) and Auto AfterMarket Securities, San Jose Ca.
since March 2018.) Both Firms are primarily niche Investment Banking Broker Dealers.
For both Firms designed and developed a compliance platform that maintains strong adherence to all applicable Regulatory Agencies (FINRA, SEC, and State).
Provide ongoing oversight and perform supervisory responsibilities as needed in order to ensure regulatory obligations are met.
BA: EnglishSUNY - Buffalo English Magna Cum Laude
Post BaccalaureateState University College Buffalo GPA: 4.0/4.0
Comprehensive experience as a CCO/Supervisor for FINRA Member Broker Dealers that conduct general retail, municipals, options, variable insurance, alternative investments, private placements, wealth management (IA) business,M&A, and Reg D offerings. Exceptional product knowledge of the various asset classes/products including alternative investments and variable insurance accompanied with a strong working knowledge of the associated suitability and regulatory supervisory requirements. Proven ability to build strong cohesive relationships among coworkers fostering a culture of ethics and integrity.
accounting, Acquisitions, Advertising, approach, business development, business planning, Coaching, Ca, Consulting, CPA, credit, Clients, Due Diligence, financial, forms, GC, Insurance, Internal Audit, Investment Banking, Law, legal, Regulatory Compliance, Marketing Materials, materials, Mentoring, Mergers, Office, Real Estate, recruitment, requirement, Retail, San, Securities, Supervisory, Supervision, tax, verbal communication, Wealth Management, Written
Supervisor Licenses: · Series 24 General Securities Principal License · Series 53 Municipal Securities Principal · Series 4 Registered Options Principal
General Securities Licenses: · Series 7 General Securities Registered Representative · Series 79 Limited Registered Representative Investment Banking · Series 99 Operations Professional · Blue Sky License: Series 63 Uniform Securities Agent State Law Exam
AWARDS/COMMUNITY · SUNY Buffalo School of Management Intern Supervisor of the year · Williamsville Central School District Safety Committee 2009 present · Williamsville Central School District Chairperson Transit Middle School Shared Decision-Making Committee 2009 2013