Chief Compliance Officer
David is an experienced securities industry professional with nearly 30 years of financial, regulatory, and industry experience. David was previously the co-chief compliance officer of Seaport Global Securities LLC, and the chief compliance officer and anti-money laundering officer for Global Hunter Securities LLC and Credit Agricole Cheuvreux North America, Inc. David was also a branch chief for the U.S. Securities and Exchange Commission.
David earned a bachelor’s degree in accounting from the Pennsylvania State University, a master’s degree from Philadelphia University, and is accredited as a Certified Regulatory and Compliance Professional from the Financial Industry Regulatory Authority Institute at Wharton. He is also a Certified Public Accountant and Chartered Global Management Accountant and holds FINRA licenses 7, 24, 57, 63, 79, & 99.
As a volunteer, he also manages the finance department at Temple Sinai in Summit, NJ, a 501(c)(3) religious non-profit organization.