Luxor Financial Group
"I’m an expert in Broker Dealer and RIA regulatory filings. I have completed hundreds of filings including New Member Applications, Continuing Membership Applications, Expansions, State Applications, U4s U5s, Form BDs, etc.
I have been in the securities industry for over 20 years with a specialty in Business Development and Private Placements/Investment Banking. I have held six industry licenses including the Series 4,7,24,63,79 & 99.
I’m a nationally recognized expert on management, ownership, business plans, supervisory structures, regulatory issues, customer complaints, written supervisory procedures, anti money laundering procedures, business continuity plans, operations and all Broker Dealer/RIA day-to-day related issues.
From a Compliance perspective, I was a Regional Manager overseeing the trading, operations & compliance of approximately 25 offices as well as being a Branch Office Manager on Wall Street. I have been the Chief Compliance Officer for my own Broker Dealer as well as for Broker Dealer start ups. I have assisted numerous Broker Dealers in developing real business strategies and avoiding pitfalls.
In 2010, I was fortunate to be elected to the FINRA Board of Governors and then reelected in 2011, both times by overwhelming majority vote of the Members, for which I am forever grateful for their trust and confidence in knowing that I have always worked hard for them and continue to do so."