Experience

Luxor Financial Group/Broker Dealer/Registered Investment Adviser Experts

• United States
• Financial Services
• 1 - 100 Employee

• Chief Executive Officer

  • Jan 2004 - Present

  New York I am the CEO of Luxor Financial Group, Inc (LFG) a New York based Broker Dealer Consulting Firm that specializes in the formation of Broker Dealers and Registered Investment Advisers (RIA). At LFG we are experts in: > New Membership Applications; > Continuing Membership Applications; > Expansion Filings; > Business Plans; > Pro-Forma Financials; > Written Supervisory Procedures; > Anti Money Laundering Procedures and AML Independent… Show more I am the CEO of Luxor Financial Group, Inc (LFG) a New York based Broker Dealer Consulting Firm that specializes in the formation of Broker Dealers and Registered Investment Advisers (RIA). At LFG we are experts in: > New Membership Applications; > Continuing Membership Applications; > Expansion Filings; > Business Plans; > Pro-Forma Financials; > Written Supervisory Procedures; > Anti Money Laundering Procedures and AML Independent Testing: > Branch Office Audits; > Conducting Annual Compliance Meetings and CEO/CCO Certifications; > Responding to Regulatory Inquiries as well as FINRA, State and SEC Audits; > Anti Money Laundering Reviews; > Business Valuations: > Business Development and General Compliance Services. Additionally, we provide Case Management and Litigation Support for Regulatory Actions, Customer Complaints, Arbitration's and issues that relate to licensing disclosures. Show less



FINRA

• United States
• Financial Services
• 700 & Above Employee

• Member Board of Directors

  • Aug 2010 - Aug 2014

  Greater New York City Area FINRA oversees the regulatory activities and business practices of over 4,500 Broker Dealers, 163,000 Branch offices, 630,000 registered representatives and 3,500 employees and consultants with annualized revenues and a budget of approximately $900,000,000 (Nine hundred million dollars). The Board contends with many complex issues that affect large organizations from generating revenues, managing expenses, personnel, legal, regulatory, political and operational… Show more FINRA oversees the regulatory activities and business practices of over 4,500 Broker Dealers, 163,000 Branch offices, 630,000 registered representatives and 3,500 employees and consultants with annualized revenues and a budget of approximately $900,000,000 (Nine hundred million dollars). The Board contends with many complex issues that affect large organizations from generating revenues, managing expenses, personnel, legal, regulatory, political and operational issues. Additionally, I was a Member of the following committees and subcommittees: Regulatory Policy Committee Emerging Regulatory Issues (Subcommittee) Financial, Operations & Technology Committee Pricing (Subcommittee) Ex-Officio of the Small Firms Advisory Board (SFAB) Show less