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@davidlerner.com
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Thomas Cerna is listed as Senior Compliance Officer at David Lerner Associates, Inc. based in Glenwood Landing, New York, United States. AeroLeads shows a work email signal at davidlerner.com and a matched LinkedIn profile for Thomas Cerna.
Thomas Cerna previously worked as Founder/President at Youthire America, Inc. and Founder/President at Youthire America, Inc.. Thomas Cerna holds Bachelor Of Science (Bs), Economics from University Of Massachusetts/Boston.
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Professional expertise includes financial regulatory background with over 20 years experience initiating, teaching, managing and enabling brokerage firms to remain viable while assisting in the expansion of business activity.Areas of expertise includes trade review (OATS, TRACE), exception report review, drafting and implementing firm procedures, acting representative handling all regulatory requests, staff supervision and CRD registration. Former FINRA Senior Examiner (NY-District 10), Special Investigations Division (Customer Complaints) and Field Examiner. I possess a B.S. in Economics and have successfully completed Level I of the Chartered Financial Analyst (CFA) program. In addition I held the Series 4, 7 24 and 63 licenses for approximately 18 years.My work history for the past five years has been devoted to growing my 501(c)3 Public Charity organization, YouthireAmerica, Inc. that provides a community-driven web-site called Youthire.org. (http://www.youthire.org) The site is devoted entirely to young adults age 16 - 26 with the objective to provide a platform bringing together Young Adults with Local Businesses, Civic Organizations and Resident Homeowners through the posting of Traditional Employment and/or Internship Opportunities, Volunteer and/or Community Service projects and essential, everyday Odd-Jobs for Young Adults to view, apply for and perform.Youthire America, Inc. intends on addressing the chronic employment situation in today's economy which affects young adults especially hard. The organization also seeks to provide assistance in making life decisions through actual work experience enhanced by mentor guidance. The objective of the website platform will allow for flexibility in the young adult's life to perform the various opportunities posted, while maintaining a schedule that includes schoolwork, after school activities and family responsibilities.In essence the young adult will Be Their Own Boss...
Listed skills include Series 7, Series 63, Securities, Mutual Funds, and 12 others.
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www.youthire.org
I have been responsible for the design, creation, conceptual theme, launching and marketing of Youthire.org, a non-profit dedicated to connecting communities and helping Young Adults realize their true passion in life. The purpose of the site is to provide an on-line "Central-Hub" whereby Civic Organizations, Businesses and Homeowners can respectively.
Managed a newly created branch office located in Melville, New York. Supervised all compliance/sales related activities for an office consisting of 35 brokers i.e. trade review, customer inquiries, margin requirements, state registrations, operations and the monitoring of client accounts. Acted as liaison with FINRA in representing office during annual.
Manhattan, New York (District 10)
Examined, analyzed and monitored financial, operational and sales practice/compliance requirements of member organizations. Examined member firms' books and records, sales practice and customer transactions in compiling a comprehensive audit. Communicated findings to senior management of respective member firms, FINRA legal division and primary supervisor..
Assisted staff attorneys in all litigation activities involving a precedent setting case to defend client Polaroid Inc. from a hostile takeover initiated by Diamond Shamrock
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Thomas Cerna is listed as Senior Compliance Officer at David Lerner Associates, Inc..
AeroLeads has found 1 work email signal at @davidlerner.com for Thomas Cerna.
Thomas Cerna is based in Glenwood Landing, New York, United States.
Thomas Cerna has worked for Youthire America, Inc., Global Arena Capital Corp., Finra (Nasd), and Cravath, Swaine & Moore Llp.
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Thomas Cerna holds Bachelor Of Science (Bs), Economics from University Of Massachusetts/Boston.
Thomas Cerna is listed with skills including Series 7, Series 63, Securities, Mutual Funds, Management, Investment Banking, Investments, and Options.
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