The world of private securities can be unnervingly opaque. It can be difficult to track down the information one needs to evaluate the underlying security and the credibility of the various parties to the transaction.
Our team is here to help. We know that compliant business is the most efficient business, and our platform is modeled to ensure that every transaction meets or exceeds the criteria of securities regulatory requirements. We pride ourselves on the rigor of our procedures and the efficiency of our supervisory systems.
Our goal is to offer solutions, not obstacles: effective guidance in structuring and executing transactions. Created by brokers-for-brokers, we take no shortcuts and get the job done right.
Please meet our management team, which is responsible for creating and implementing our supervisory procedures while supporting our affiliates in their daily work.
Dunn, Brian Chief Executive Officer
Azary, Dennis Compliance & Financial Operations Principal
Blumin, Scott Technology Manager
Brandt, Talia Compliance Advisor
Brown, Amanda Chief Operating Officer
Deva, Amar Compliance Consultant
Ferraro, Eric Outside Legal Council
Kellow, Anastasia Member Services Manager
Pasterczyk, Frank Compliance Manager
Palley, Chris Bookkeeping
Sidorenko, Vladimir OLIVIA Team Leader
Tripp, Jason Director of Regulatory Compliance & Anti Money Laundering