NYC Broker-Dealer Roundtable

	Phil Dawicki Vice President NCS Regulatory Compliance With more than 25 years in the financial services industry, Mr. Dawicki manages services to clients in meeting their financial regulatory compliance requirements and is responsible for technical consulting, quality control and practice development. Previously, he spent 17 years at regional and international CPA firms, becoming a specialist in broker-dealer GAAP accounting and FINRA/SEC regulatory reporting systems. As an Audit Partner and Director, he was responsible for the development of the financial services practice area. He has audited and reviewed net capital and FOCUS reports for compliance with Rule 15c3-1 for broker-dealers in all sectors of the industry. He has also audited and consulted with hedge funds, commodity funds and investment advisory firms.

	Stephen Murphy Vice President NCS Regulatory Compliance Stephen Murphy comes to NCS Regulatory Compliance’s NYC office with over 25 years of experience in the Capital Markets as a trader, broker, CCO, operations officer, FinOp, and CEO. Mr. Murphy developed broad knowledge of the financial markets and compliance related thereto through 15 years of trading in both commodities and equities, building execution focused BDs, and running a global Alternative Trading System for both equities and fixed income. Mr. Murphy is poised to assist firms to maintain robust systems, processes and compliance regimes while growing their franchise.

	Robert Campbell Senior Consultant NCS Regulatory Compliance Robert has 18 years of combined experience in the management of broker-dealer, hedge fund, and investment adviser compliance and financial reporting. He is a CPA and began his career with the NASD, now FINRA, becoming a Senior Compliance Examiner. Since then he has held Treasurer, CFO, CCO, and Chief Accounting Officer positions with a variety of firms in the industry including a dually registered RIA firm and BD, a BD engaged in corporate and public finance, a municipal bond BD, a billion dollar hedge fund and BD, and bank-owned broker-dealers. His experience includes responsibility for compliance, financial reporting, regulatory financial preparation (FOCUS, SSOI) and reporting, Net Capital, and year-end financial statement preparation for the annual PCAOB registered audit. He has also helped develop numerous compliance and reporting systems to meet financial and regulatory reporting requirements.

	Thomas Hopkins Senior Consultant NCS Regulatory Compliance Thomas Hopkins has over twenty years of experience as FINOP in the financial services and securities industry. In his role as FINOP and Financial Consultant, he is responsible for providing and reviewing financial reporting and regulatory filings for broker-dealer clients. Prior to joining the firm, Mr. Hopkins was VP Regional Finance-Regulatory Reporting with Deutsche Bank Securities, Inc. and Cantor Fitzgerald and Co both in New York City, where he was responsible for implementing and testing new policy and procedures related to SEC regulations as well as financial management validation and control for the US broker-dealer including all regulatory reporting and financial statement reporting. He is experienced with developing procedures, controls and testing for SEA Rule 17a-5; net capital calculating and FOCUS reporting; SEC Form 17h, and presentation of financial to senior management. Mr. Hopkins is a former FINRA Coordinator as well as VP Finance. In his role with NCS Regulatory Compliance, Mr. Hopkins will keep current on regulatory developments to assist in making strategic recommendations for our clients. He holds a Bachelor of Science degree in Business Administration with Series 27 and 99 licenses.

	Richard Mattera Senior Consultant NCS Regulatory Compliance With more than 34 years in the ﬁnancial services industry, Mr. Mattera performs FINOP services and provides other regulatory consulting and advisory services for the ﬁrms’ broker/dealer clients. He served as Managing Director for Bear Stearns & Co. from 1979 until 2006. His responsibilities were to ensure compliance with all regulatory requirements pertaining to the Securities operations of the ﬁrm and its subsidiaries, advise senior management on the regulatory impact of new and proposed rules, and to assist in the structure of new products and businesses and develop new strategies.

	Jeremy Solomon President Solomon Exam Prep Jeremy Solomon is the President of Solomon Exam Prep. He was the founding admininstrator of Practicing Attorneys for Law Students in New York City, an educational program for law students at New York City area law schools. Jeremy received an MBA from the Wharton School of Business and a BA in History from the University of Wisconsin-Madison. Jeremy will discuss the 2018 FINRA exam restructure and the October launch of the new Securities Essentials Exam. Solomon Exam Prep has helped thousands of individuals pass their Series 6, 7, 63, 65, 66, 24, 26, 27, 28, 50, 51, 52, 53, 62, 79, 82 and 99 exams.