Glen Stifelman Email & Phone Number

Melville, Ny, Us

Dallas, Texas, Us

Palo Alto, California, Us

New York, Ny, Us

New York, Ny, Us

Chief Compliance Officer of high volume trading retail broker/dealer.

GRS Compliance Consulting, Inc, provides a wide variety of services to assists firms in their compliance requirements. Some of these services include:• Handle all functions of a chief compliance officer; consult on all compliance matters • Execute compliance and operations reviews for broker/dealers • Develop and draft written supervisory, compliance and operations procedures • Conduct annual compliance meetings and securities training • Review employee trading and email • Perform certifications for FINRA Rules 3012 – 3013 and 2711; and AML reviews • Write annual compliance reports • Provide expert testimony • Conduct branch and office audits • Provide CRD services including filing and renewals

Pound Ridge, Ny, Us

DIRECT AND IMPROVE ALL ASPECTS OF COMPLIANCE:• Oversee certifications for FINRA Rules 3012-3013 and 2711• Delivered one-item SEC Audit & FINRA audits • Handle SRO investigations • Efficiently completed CRD registration• Updated CE and AML programs• Upgrade surveillance• E-mail account examination • Website and advertising review

DIRECT ALL ASPECTS OF COMPLIANCE:• Conduct annual compliance meetings and continuing education • Perform certifications for FINRA Rules 3012-3013 and 2711• Oversee correspondence and advertising• E-mail review• Review website content• Improve trading surveillance• Execute branch audits and review personnel• Handle customer complaints and SRO investigations• In charge of registration with the CRD

• In charge of all aspects of compliance• Perform certifications for FINRA Rule 3012-3013• Perform all surveillance for wash sales, front-running, and odd lot transactions• Conduct annual compliance meetings and continuing education • Responsible for all correspondence and advertising• Execute branch audits and review personnel• Handle all customer complaints and SRO investigations• In charge of registration with CRD• Email and website content review• Ensure OATS compliance

• Conduct analysis and provide expert testimony• Perform compliance and operations reviews for Broker/Dealers• Perform all functions of a chief compliance officer• Develop and draft written supervisory procedures and compliance and operations procedures• Conduct annual compliance meetings and securities training • Review employee trading and email• Perform certifications for FINRA Rules 3012 - 3013

Charlotte, Nc, Us

• In charge of all option surveillance, aggregation and approvals for busy equity derivative desk• Ran surveillance of front running, ACT, 410b and TRACE • Handled inquiries from all exchanges and SRO’s• Executed various projects that concerned compliance, trading and IT• Worked closely with IT to ensure programs meet compliance approval

Us

• In charge of all option surveillance, aggregation and approvals for busy equity derivative desk• Performed surveillance of front running, ACT, 410b and TRACE • Handled inquiries from all exchanges and SRO’s• Executed all projects that concerned compliance, trading and IT• Worked closely with IT to ensure programs meet compliance approval

• Created operations from ground up• Started customer service department for Board of Directors• Hired and trained staff of 15 licensed principals • Heavy involvement in creating/writing operational procedures, business requirements and infrastructure including: compliance, trading policies, new account acceptance, review of trades, margin, trade disputes and disaster recovery• Helped open call centers including training of reps • Served as Chief Compliance Officer (CCO) until permanent officer was hired• Managed Clearing House/ADP relationships for the firm• Advised all other functional areas including marketing, website, business development, compliance, finance, wholesale, IT, and vendor management • Ran QA testing for web product • Member of Instinet’s acquisition team for its “Baseball” project (day trading firm/technology platform) • Registered Board of Director as SROP and principal• Taught Series 7 class to 25 internal employees • Member/co-developer of “ROMI” trading system – patent pending

• In charge of six experienced brokers. Involved in all types/aspects of trading including NYSE, DOT, OTC, Bonds (all types), Options, UIT's, and mutual funds • 144 and 10-b-18 trading • Extensive experience in ACT, Davidge, Quotron, ADP, and Instinet systems• Head of Best Execution Committee • Helped write and establish many new audit and compliance procedures

• President / Principal of start-up discount brokerage division specializing in Canadian and U.S. securities. • Oversaw all aspects of the operations including: establishing all procedure manuals and computer systems, enrollment with the NASD; and creation of commission schedules and margin rates • Head of Compliance; handled SROP and CROP duties and all day-to-day operations. Passed NASD first year audit • Merged company with Waterhouse and marketed services to all Waterhouse clients. Division became first international discount trading facility in U.S.

Us

• Managed office operations for medium-sized branch • Duties included: trading, risk analysis, regulatory and compliance issues, customer support, employee training, development and other personnel matters, expense control, statistical analysis/reports, sales and marketing

Westlake, Texas, Us

• Registered Account Executive III (New York, NY)• Supported and monitored 12 retail branches in the Northeast region• Functioned as "Acting Branch Manager" as needed • Took customer trade orders and processed trade data• Handled maintenance requirements, client reorganization notices, and debit recovery• Supervised cash control area including the training and development of 15+ employees responsible for bank reconciliations, issuance of operational checks, balancing branch deposits and withdrawals between various banks; and funding of the special reserve account