Joe Tropeano
Senior Consultant
Background
Joe has over 30 years of experience in asset management. Hedge Funds and broker-dealer compliance. He has served as the Chief Compliance Officer at top-tier investment advisers and senior roles throughout his career.
His areas of expertise covers the Investment Advisers Act of 1940, Investment Company Act of 1940, and various rules under FINRA, ERISA, NFA, and CFTC. His product knowledge includes equity and fixed income securities, mutual funds, wrap fee programs, hedge funds, and brokerage. He also brings significant corporate governance experience.
Joe began his career with the Securities and Exchange Commission in the New York Office. Joe has a BS in Accounting from New York Institute of Technology. He holds certifications in FINRA Series 7 and Series 24.
