A member of the CRC Oyster Leadership Team, Steven has spent thirty-nine years in the securities industry.
He leads the firm’s FINOP practice, serving as Financial and Operations Principal for a range of niche FINRA broker-dealers, overseeing financial reporting, FOCUS filings, and year-end audit coordination, and helping firms comply with industry financial responsibility rules. He began his career at FINRA, spending nine years there and rising to Field Supervisor, where he developed comprehensive expertise in industry rules and regulations through field examinations of broker-dealers of every type. In the three decades since, he has held a progressive range of both compliance and financial roles, including Chief Compliance Officer, at national, regional, large bank-affiliated, and niche FINRA broker-dealers.
