Managing Director, Compliance and Administration
Tad has 30+ years of experience in broker-dealer compliance, financial operations, and senior management. He is the compliance and Fin-Op advisor/professional for several broker-dealers in the US. Prior experience includes equity and fixed income trading, market-making, proprietary and high-frequency trading, hedge fund operations and management, and CFO roles. Tad is also a FINRA arbitrator and holds a Certified Regulatory Compliance Professional designation from Georgetown University. FINRA licenses 4, 7, 24, 27, 55, 63.