Robert has 18 years of combined experience in the management of broker-dealer, hedge fund, and investment adviser compliance and financial reporting. He is a CPA and began his career with the NASD, now FINRA, becoming a Senior Compliance Examiner. Since then he has held Treasurer, CFO, CCO, and Chief Accounting Officer positions with a variety of firms in the industry including a dually registered RIA firm and BD, a BD engaged in corporate and public finance, a municipal bond BD, a billion dollar hedge fund and BD, and bank-owned broker-dealers. His experience includes responsibility for compliance, financial reporting, regulatory financial preparation (FOCUS, SSOI) and reporting, Net Capital, and year-end financial statement preparation for the annual PCAOB registered audit. He has also helped develop numerous compliance and reporting systems to meet financial and regulatory reporting requirements.
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