Mr. Cannizzaro has over 27 years of industry compliance experience and has spent his entire career either providing compliance advice or working and managing large and complex compliance departments for both investment advisers and broker dealers. For the past 15 years, Mr. Cannizzaro has offered his compliance consulting services to registered investment advisors and broker dealers, helping them to develop, maintain and enhance their in-house compliance programs while keeping them in tune with the latest SEC and/or FINRA regulations.
Prior to his consulting career, Mr. Cannizzaro spent 12 years in such capacities as Chief Compliance Officer and Chief Risk Officer. During his career he has developed both compliance and operational procedures that are uniquely designed to marry compliance requirements with the operational needs of an efficient business. Having actually worked within the business environment, and having endured dozens of internal audits, third party assessments and regulatory examinations, Mr. Cannizzaro has a firm grasp of the examiner’s perspective as they audit a firm and can provide practical guidance to help establish a comprehensive compliance program enabling firms to get through a regulatory review with minimal issues. Although Mr. Cannizzaro has worked for some large institutional firms, he understands that any advice he provides needs to be grounded in reality and that it needs to be practical and resource appropriate for your firm.
Mr. Cannizzaro has previously held the Series 7, 9, 10, 24 and 63 designations. Mr. Cannizzaro has a Bachelor of Arts degree in Economics with a concentration in Finance, from the University of Connecticut.
*RIA Compliance Specialists, LLC is an affiliate with Reymann Law Group, Inc.
- University of Connecticut - B.A. in Economics with a concentration in Finance
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