Pete Hoffman Email and Phone Number

All aspects of Regulatory & Accounting affecting Financial Services.

Design Accounting & Regulatory systems for Financial Services Companies

Derivative Sales, Institutional & RetailSubject Matter Expert (SME), Structured NotesSteepners, Cliquets, Buffered, Barriers, Knockouts, CMS/Interest Rate, Multi Asset, Reverse Convertibles, CD’s, US, European, Initial, Secondary Market, White Labeling, etc

Engaged in the pursuit and procurement of new business, building this retail and institutional firm from a single office to five branches through organic expansion and direct acquisition. Staffed between 65 and 90 reps.Pushed company strategy beyond traditional acquisition approaches and negotiated the purchase of MF Global’s assets valued at $300 MM. Analyzed the sale’s structure and bid on the initial purchase and a percentage of future earnings. Expertly secured deal without an initial investment.Arranged financing for takedown of the following: SPAC (Specific Purpose Acquisition Companies) IPOs, Syndicate and selling groups. Established a Structured Products Division in 2007, which maintained company as a going concern during market downturn in 2009. Based this investment program on both market-linked and long/short interest rate variables in US and European markets. Grew business globally and gained an expanded point of view courting retail clients based in the United Kingdom and mainland Europe. Defended and supported all company best practices with regards to the SEC and FINRA (Financial Industry Regulatory Association) examinations and annual PCAOB (Public Company Accounting Oversight Board) compliant audits. PHD remains in good standing with both of these regulatory institutions. 401K trustee.Perform successful wind-down of PHD preparing it for sale, acquisition or consolidation.Anti Money Laundering (AML) (BSA), (KYC): Built & managed & defended firms Anti Money Laundering, Bank Secrecy Act, & Know Your Customer procedures.o Equities, Investment Banking, Structured Products, Institutional Trading, Auditso SEC, FINRA, IRS, FASB, GAAP, FOCUS, 15c3-1, 15c3-3o Retail Equity Business, Investment Banking Deals and Due Diligence, Private Equity Finance/Operations, IPOs, Contract Negotiation, Examinations Management, Compliance, Technology, Trade Supervision, Planning/Conversion, Financial Alliances, Public and Private Financial Environments

Advised a diverse collection of existing companies and start-up ventures including bar/restaurant, manufacturing, hotel/hospitality, fashion/photography, technology, and high net worth individuals. Key client, PHD Capital Corp., offered a permanent partnership and c-level executive role in its successful broker dealer start-up firm.Early Career: Additional professional roles as a CPA Tax and Audit Accountant for Imowitz, Koening, & Co., LLP (1989 – 1991) and as Tax and Audit Accountant for Reinschreiber, Gross Accounting LLP (1991 – 1993).Tax office for NY County Probate, 990, 990PF, Conservatorships, Foundations, Intestate Decedents, 1041’s Further details on request.

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Nuclear MM