SENIOR REGULATORY ADVISOR
Frank Joined the Asgard team in July, 2020. Frank is responsible for implementing compliance and risk management programs for our broker-dealer and investment adviser clients. He also serves in the role of Chief Compliance Officer for select clients. Frank has expertise in broker-dealer and investment advisory regulations and is well versed in FINRA and SEC rules and regulations. He holds the FINRA Series 6, 7, 14, 24 and 63 licenses.
Frank has experience with all aspects of developing a compliance program, including the oversight, review, and testing of the firms business lines, branches, personnel and procedures to ensure compliance with FINRA, SEC and federal securities laws and applicable regulations. Identifying apparent gaps in firm procedures and creating corrective implementation strategies, which includes handling Form U4, Form U5, Form BD, continuing education, outside business activities, gift & gratuity logs, review of personal trading accounts, review of marketing material, review of electronic correspondence, social media, reviews for KYC AML, FINCEN and OFAC and handling inquiries from regulatory agencies. Frank is also experienced with the FINRA research analyst rules and conducting reviews for conflicts of interest, material non-public information, Chinese Wall, Information Barriers, disclosure reviews and compensation. Prior to joining Asgard, Frank was the Chief Compliance Officer for several financial institutions. Frank also spent 14 years at FINRA where he identified underlying causes of apparent regulatory violations and created corrective implementation strategies for member firms.
Frank earned his BA in English and a minor in Business from Siena College. Frank holds the Series 7, 24, and 99 licenses.
Frank’s experience as a Chief Compliance Officer and former FINRA Regulator makes him a unique resource for our clients. Frank resides in Nassau County, New York with his wife Deborah and 2 children – Rachel and Peter.
In his spare time, Frank enjoys outings with his family, going to the beach, and is an avid runner.