667 Madison Avenue New York City, NY, 10065
substantial private fund to alternative asset management, securities law, product fund formation (private placement to IPO), fund business matters-strategy, securities regulations, and C-suite business and legal expertise across execution, framework, business strategy, best practices compliance, operations, supervision of investing organizations. ...
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Brian F. McNally has almost 30 years of regulatory experience as investment management lawyer and compliance professional, including senior roles at the U.S. Securities & Exchange Commission...
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Grace is a financial industry professional whose career spans more than twenty-five years. A former manager, partner, member, and Chief Compliance Officer of both broker-dealers and investment advisors...
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(FINRA Series 7, 24, 79, 99 and 55)
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