Mike Shuckerow

Mike Shuckerow Email and Phone Number

Los Angeles, CA, US
Mike Shuckerow's Location
Los Angeles, California, United States, United States
Mike Shuckerow's Contact Details

Mike Shuckerow work email

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About Mike Shuckerow

🌲 ♻️ Fix the Climate Change the World 🌎 🌳 🤖 Artificial Intelligence 🤖 Web3 🕸️3️⃣ FinTech 🏦I serve as Chairman of the Board of Directors for Napster Music, Inc. I am also a graduate of the 18 month Harvard Business Analytics Program, a joint program of Harvard Business School, Harvard Faculty of Arts and Sciences and John A. Paulson School of Engineering and Applied Sciences. I am currently Chief Operating Officer at Catona Climate and Board Adviser to Vestwell and prior served as Special Securities Counsel, General Counsel - Regulatory & CCO to Vestwell, an award-winning Goldman Sachs, Point72 Ventures and Fidelity F-Prime Venture Capital financed Series B fintech start-up. Preceding, I was at Aretec Group Inc. (f/k/a RCS Capital) where I was appointed Special Regulatory Counsel to the CEO of Aretec [Holding Company for Cetera Financial Group] by the board of directors. Before Aretec, I served as Head of Distribution Compliance for Columbia Threadneedle Investments from April 2008 to Oct. 2014, after joining Columbia and Bank of America in 2008 as a Senior Vice President & Global Investment Management Compliance Executive. Prior to Bank of America, I was, for 3 years, at Citigroup as CCO - Senior Vice President of an international JV of Citi and State Street. Preceding, I spent 5 years at UBS, leading 10 attorneys as Associate General Counsel & FVP in the Legal Department. I also served as Deputy CAO of the Investment Consulting Division. I was an Assistant General Counsel at PaineWebber, when acquired by UBS in 2000. Prior, I spent 2 years with NY Life’s Office of the General Counsel. I began my career as a Judicial Clinical Intern to the Hon. Edward R. Karazin at the State of Connecticut Superior Court. I hold a JD from St. John’s University School of Law, where I was a Senior Board Member - Moot Court Honor Society and Editor-in-Chief of the St. John’s University School of Law Forum, and a BS from Northeastern University. I am admitted to the bar in NY and CT and hold FINRA Series 7, 24 registrations.

Mike Shuckerow's Current Company Details
CapNa Holdings, Inc.

Capna Holdings, Inc.

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Founder
Los Angeles, CA, US
Mike Shuckerow Work Experience Details
  • Capna Holdings, Inc.
    Founder
    Capna Holdings, Inc.
    Los Angeles, Ca, Us
  • Catona Climate
    Chief Operating Officer
    Catona Climate Jan 2024 - Present
    Marina Del Rey, Ca, Us
    Chief Operating Officer and Head of Legal, Finance, Human Resources, Operations, Information Technology, Compliance and Internal Audit.
  • Catona Climate
    General Counsel - Chief Legal Officer
    Catona Climate Sep 2019 - Jan 2024
    Marina Del Rey, Ca, Us
    Present: COO & Head of Legal Catona ClimatePresent: Board Adviser & Equity Stakeholder Catona ClimatePresent: Board Director - The Catona Climate Foundation, Inc. - (501c-3) Chief Legal Officer and CCO/September 2019 - December 2022.Chief Executive Officer - affiliated broker dealer 2020 - 2022Principal Financial Officer - The Redwood Fund 2020 - 2022 (ESG Large Cap Value 40 Act Mutual Fund)
  • Vestwell
    Board Adviser To Vestwell, A Goldman Sachs, Point72 Ventures And Fidelity F-Prime Backed Company
    Vestwell Nov 2016 - Present
    New York, Ny, Us
    General Counsel and Chief Compliance Officer November 2016 to May 2018.Equity Stakeholder 2016-PresentSpecial Securities Counsel and Board Adviser May 2018 to September 2019.Board Adviser to Vestwell September 2019 to Present.
  • Catona Climate Foundation, Inc.
    Board Chair
    Catona Climate Foundation, Inc. Sep 2023 - Present
  • Napster
    Chairman Of The Board Of Directors
    Napster Jul 2023 - Nov 2024
    Seattle, Us
    Member of the Board of Directors for:Napster Music, Inc. Napster Holdings, Inc. Rhapsody International, Inc. Hypnos Capital, LLC
  • Cetera Financial Group
    Special Regulatory Counsel To Ceo Aretec Group Inc (Holding Co. For Cetera Financial Group)
    Cetera Financial Group Oct 2014 - Nov 2016
    San Diego , Ca, Us
    Board of Directors appointed Special Regulatory Counsel to CEO of Aretec [hold co of Cetera Financial]
  • Bank Of America Merrill Lynch
    Senior Vice President Bank Of America - Columbia Management
    Bank Of America Merrill Lynch Apr 2008 - Oct 2014
    Charlotte, Nc, Us
    (See same role with Ameriprise Financial from May 2010 to October 2014)
  • Columbia Threadneedle Investments, Us
    Head Of Distribution Compliance - Ameriprise - Vice President - General Counsel’S Organization
    Columbia Threadneedle Investments, Us Apr 2008 - Oct 2014
    Boston, Massachusetts, Us
    Transitioned to Ameriprise with the sale of Columbia Management from Bank of America in 2010.
  • Citi
    Chief Compliance Officer - Senior Vice President - Citigroup
    Citi May 2005 - Apr 2008
    New York, New York, Us
    Entity level CCO and head of global compliance for a 3,600 employee joint venture - CitiStreet LLC, a State Street and Citigroup Company (Now Voya), including all US locations and locations in Australia.
  • Ubs
    Deputy Chief Administrative Officer/First Vice President
    Ubs Apr 2000 - May 2005
    Zurich, Ch
    October 2003 - May 2005Deputy CAO of $50Billion+ AUM line of business for UBS Financial Services.
  • Ubs
    Managing Associate General Counsel/First Vice President
    Ubs Apr 2000 - May 2005
    Zurich, Ch
    April 2000 - October 2003Managed a group of 10 attorneys in the legal department of UBS, and prior UBS PaineWebber, Covering alternative dispute resolution and litigation matters for UBS’ large US retail broker-dealer.
  • New York Life Insurance Company
    Office Of The General Counsel - New York Life Inurance Company
    New York Life Insurance Company 1998 - 2000
    New York, New York, Us
    ADR Unit, Litigation Section
  • State Of Connecticut
    Judicial Clinical Intern - Connecticut Judicial Branch
    State Of Connecticut Jan 1997 - Jun 1997
    Hartford, Connecticut, Us
    Judicial Clinical Intern to Chief Administrative Judge Edward R. Karazin, Jr.

Mike Shuckerow Skills

Securities Financial Services Asset Management Securities Regulation Mutual Funds Finra Hedge Funds Investments Investment Management Equities Risk Management Alternative Investments Corporate Law Corporate Governance Due Diligence Capital Markets Financial Risk Aml Derivatives Anti Money Laundering Litigation Dol Fiduciary Rule Sec Financial Regulation Regulatory Affairs International Compliance Series 24 Series 7 Institutional Investments Institutional Investors Fcpa Product Development Wealth Management Broker Dealer Erisa Ucits Private Placements Ecomm/infosec Ethics Cco Private Equity Congressional Lobbying Cross Border Fincen Ofac Jobs Act Cftc/nfa Compliance Wealth Management Compliance Investment Advisers Act Investment Company Act Financial Technology

Mike Shuckerow Education Details

  • Northeastern University
    Northeastern University
    Cj & Political Science
  • Harvard Business School
    Harvard Business School
    Business Analytics - Data Science
  • St. John'S University School Of Law
    St. John'S University School Of Law
    Law

Frequently Asked Questions about Mike Shuckerow

What company does Mike Shuckerow work for?

Mike Shuckerow works for Capna Holdings, Inc.

What is Mike Shuckerow's role at the current company?

Mike Shuckerow's current role is Founder.

What is Mike Shuckerow's email address?

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What is Mike Shuckerow's direct phone number?

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What schools did Mike Shuckerow attend?

Mike Shuckerow attended Northeastern University, Harvard Business School, St. John's University School Of Law.

What are some of Mike Shuckerow's interests?

Mike Shuckerow has interest in Europe, Middle East, Asia Pacific.

What skills is Mike Shuckerow known for?

Mike Shuckerow has skills like Securities, Financial Services, Asset Management, Securities Regulation, Mutual Funds, Finra, Hedge Funds, Investments, Investment Management, Equities, Risk Management, Alternative Investments.

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