Securities Accounting Expert

This securities expert has over 25 years of accounting experience in securities. He is the principal of a securities accounting firm as well as the CEO of a firm specializing in compliance programs for broker dealers, investments advisers, and insurance companies. He has been involved in the securities industry as an accounting and securities compliance specialist. He is a compliance auditor for broker dealers and hedge funds. He has held financial positions with several securities firms and previously worked as a desk trader in mortgage-backed securities. He is a certified public accountant (CPA) and holds Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) Series 3, 4, 7, 24, 27, 53, 55, and 63 licenses. He is a member of the American Institute of Certified Public Accountants (AICPA) and the Public Company Accounting Oversight Board (PCAOB). He has an MBA and is an experienced expert witness, having testified in deposition and at trial on securities accounting and hedge fund related issues.

He has testified in deposition and at trial on securities accounting and hedge fund related issues.

• Over 25 years of accounting experience in securities
• Principal of a securities accounting firm
• CEO of a firm specializing in compliance programs for broker dealers, investment advisers, and insurance companies
• Involved in the securities industry as an accounting and securities compliance specialist
• Compliance auditor for broker dealers and hedge funds
• Held financial positions with several securities firms
• Previously worked as a desk trader in mortgage-backed securities
• Member, AICPA and PCAOB

• MBA
• B.Sc., Engineering
• Certified Public Accountant (CPA)
• SEC and FINRA Series 3, 4, 7, 24, 27, 53, 55, and 63 Licenses

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