Jeff has over twenty years of compliance experience, most recently serving as the Chief Compliance Officer of Brite Advisers USA, a New York based RIA that focused on the British Expat space. He has also been affiliated in a compliance capacity with such respected firms as Northstar Wealth Partners, Citigroup, Robotti & Company, Principal Financial, and AXA Advisors. Jeff attended Fairfield University, where he pursued his bachelor’s degree in Finance with a minor in Economics. He holds his FINRA Series 7, 24, 53, 4, 9, 10, 53 and 63 registrations and the Series 65 registration through SAM.
Jeff broke into the business as an Operations Assistant at Alex Brown and Sons, before moving to Institutional Trading as a Trading Assistant. Additional stints as a Futures and Options Floor Trader on the LIFFE and as an Operations Manager at a Regional Broker Dealer gave Jeff the broad based experience in financial services before the migration to Compliance.
In his free time, Jeff is a competitive Masters Swimmer and is a world record holder in his age bracket in the 4 x 200 free relay. A competitive swimmer all his life, Jeff is also a locally and nationally certified Swimming Official. Jeff and his wife, Margaret reside in Trumbull, Connecticut. They have 2 daughters, Elizabeth (BA Seton Hall ’20, MA Sacred Heart ’22) a 4-year varsity swimmer at Seton Hall and current Masters swimmer and Caroline (BS UMBC ’22), a current Graduate student at UMBC and a 4-year varsity swimmer.