MF
American Portfolios Financial Services, Inc.Mauro Frank D'Addato
Supervisory Principal
Holbrook, New York
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60 professionals matching “Compliance Legal”
Search relevanceMR
Osaic Wealth, Inc.Firm websiteMelissa Rose McIsaac
Compliance Coordinator, Financial Advisor
Buffalo, New York
Request introductionMA
Wells Fargo Clearing Services, LLCFirm websiteMichael Anthony Nelson
Assistant Vice President, Field Support Governance Specialist, Financial Consultant
Saratoga Springs, New York
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Lebenthal Financial Services, Inc.Michael Avery Hartzman
Chief Compliance Officer, Executive Representative, Municipal Principal, Options Principal, President
Hauppauge, New York
Request introductionMD
Monarch Capital Group, LLCMichael David Potter
Chairman, Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer
New York, New York
Request introductionMJ
UBS Financial Services Inc.Firm websiteMichelle Jeannette Rose
Senior Client Service Associate, Supervisory Officer
Weehawken, New Jersey
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NGC Financial, LLCNeil George Carousso
Chief Compliance Officer, Owner
Bayside, New York
Request introductionPH
Wharton Midmarket Securities Inc.Paul Harrigan
Anti-Money Laundering Compliance Officer, Compliance Manager, Executive Representative, FINOP, Managing Director, President
Woodbridge, Connecticut
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Buckram Securities LtdPeter Philip Debuona
Chief Compliance Officer, President
Locust Valley, New York
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Raphael Aryeh and AssociatesRaphael Aryeh
Chief Compliance Officer, General Partner
Flushing, New York
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TimeCapital Securities CorporationRichard George Rohman
Chief Compliance Officer, Founding Partner, Vice President
Port Jefferson Station, New York
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Wells Fargo Clearing Services, LLCFirm websiteRobert Anthony Lombri
Controls Specialist, Field Support Governance Specialist, Financial Advisor, Supervisory Control Associate
Melville, New York
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