VP, Compliance Officer
Year joined Wellington Shields: 2015
Anthony brings 31 years industry experience working for banking institutions providing guidance on operational, regulatory, and client on-boarding issues to investment advisor business units. As a Compliance Officer, he embraces the challenge of interpreting new regulations, writing corresponding WSP’s and disseminating those requirements to our staff.
Anthony gained industry experience and forged his leadership skills at Royal Bank of Canada, JP Morgan, Bear Stearns, and AIG.
Education and Certifications
- State University of New York, College at Fredonia, BA – Economics and Business Finance
- FINRA Licenses: Series 4, 7, 8, 24, 63, 65
Other Interest and/or Affiliations
Anthony likes to keep active—hiking, bicycling, and spending time at the beach. Recent travel destinations include Cartagena, Berlin, Vancouver, and Cape Cod. Closer to home, he is an enthusiastic explorer of the neighborhoods within New York City and its surrounding areas.