Joe has been with the firm since 2014 and offers over 30 years of front and back office experience in the financial services industry, with broad expertise spanning broker-dealer operations, compliance, relationship management, and client integrations and conversions.
He has worked across broker-dealers, clearing firms, and registered investment advisers on operational risk and readiness assessments, branch audits, compliance support, remediation projects, and trade and supervisory procedure reviews. Earlier in his career, Joe served as Administrative Complex Manager at RBC Wealth Management, Director of Operations at JB Hanauer, Senior Relationship Manager at Wexford Clearing Services, and Operations Supervisor at Prudential Securities, firsthand perspective on operations in both introducing and clearing firm environments.
Joe holds a Bachelor of Arts from Brooklyn College and maintains Series 7, 9, 10, 24, 63, and 65 securities registrations.
