Serving as a parachute-in change-management consultant or transitional senior executive to financial services firms seeking to enhance company valuations, improve salability, or investor appeal and/or improve ROI through strategic product/market expansions and financial, operational, or regulatory compliance efficiencies. A big-picture, solution-driven strategist adept at breaking new ground and defining innovative new solutions and best-practice approaches to challenging business problems… Show more Serving as a parachute-in change-management consultant or transitional senior executive to financial services firms seeking to enhance company valuations, improve salability, or investor appeal and/or improve ROI through strategic product/market expansions and financial, operational, or regulatory compliance efficiencies. A big-picture, solution-driven strategist adept at breaking new ground and defining innovative new solutions and best-practice approaches to challenging business problems. Please feel free to contact me to discuss your current needs or situation.Current Registrations: FINRA Series 4, 7, 24, 27, 63, 82, and 99 licenses.Functional Specializations: Institutional & wholesale advisory business development, front-to-back office investment & clearing and accounting operations and systems, investment/trading platforms & connectivity, regulatory compliance, capital formation, SEC 15c3 and 17a5, FOCUS, and regulatory reporting.Product Specializations: Listed Derivatives (Options, Indexes, ETFs, & Futures), Mutual and Managed Funds, Asset Allocation, Equities, Fixed Income, Foreign Currencies, Private Placements, Pre-IPO Fund Structuring and Administration, Corporate Advisory, P/E, Pipes, Investment Research, Institutional Portfolio Trading, Trading Cost & Quality Solutions, Portfolio Transition & Volatility Risk Management, Hedging, Risk Management & Mitigation processes, Show less

Currently serving as transitional CEO/CFO while overseeing a management team build-out, reorganization and product/market restructuring.

Oversaw the conversion of an international client branch-office operation to a third-party B/D.

On behalf of company investors: Replaced senior management team; expanded products and markets; established international execution and clearing; refined regulatory compliance and supervisory control processes; enhanced company valuation. Coordinated sale of this entity to an international investor group; led a smooth transition of management, products and processes.

Acquired a compliance-troubled retail BD book of business (client list) and converted it to a fully-compliant OSJ branch office. Transitioned the acquired high-net-worth clientele onto a new investment platform, providing high-quality trading and investment support services, enhanced regulatory and compliance oversight, implemented enhanced sales supervisory structure and processes and coordinated staff and broker cultural change training and marketing efforts.

Served as interim adviser to Financial and Operations (FinOp) Principal, Registered Options Principal (ROP). and independently owned/managed an Office of Supervisory Jurisdiction (OSJ) branch office operation.

Served as interim head of front-to-back office operations, compliance, customer service, finance & administration, product and strategic planning for this aggressive financial services company offering broker-dealer, investment banking, and asset management services to HNW retail and institutional clientele

Full front to back-office operations and systems build-out and management for this institutional investment boutique. Utilizing a consultative, client-solution based, product development strategy, we defined and pioneered the development of several equity, fixed income, and currency portfolio trading, hedging, and transition management services (focused on reducing trading costs via active liquidity discovery, market impact & volatility risk management) through the use of beta-correlated… Show more Full front to back-office operations and systems build-out and management for this institutional investment boutique. Utilizing a consultative, client-solution based, product development strategy, we defined and pioneered the development of several equity, fixed income, and currency portfolio trading, hedging, and transition management services (focused on reducing trading costs via active liquidity discovery, market impact & volatility risk management) through the use of beta-correlated derivatives, multiple global desks, OMS/EMS, dark pools, and algorithms. Show less

Front-to-back office operations, compliance, and sales/distribution change management, multi-product silo integration and expansion, and business development related to trading and investments, mutual funds, and investment research operations, sales, compliance, and administration.