I am an experienced financial services executive with extensive experience in the securities regulated markets and the Acts that govern them, particularly the 1933, 1934 and 1940 Acts. I have attained widespread knowledge and experience in all aspects of operations, financial management and ...more

I am an experienced financial services executive with extensive experience in the securities regulated markets and the Acts that govern them, particularly the 1933, 1934 and 1940 Acts. I have attained widespread knowledge and experience in all aspects of operations, financial management and compliance. I have managed all compliance, regulatory and operational responsibilities necessary to successfully launch a total of 40+ ETF products on the NYSE and Nasdaq. In addition to my roles as COO and CCO, I was a key executive providing product opportunities in future and commodity based ETF products as I have my Series 3, Series 7 and Series 63 licenses.less