Title : President and CEO
Company Name: Compliance Matters LLC
Industry : Financial Services
Location : New York,NY,United States
Specialty : Consulting; Guidance; Regulations; Forms; DirectionBiography :
David Mack is the President and Chief Executive Officer of Compliance Matters LLC, a financial firm dedicated to navigating all compliance and SEC regulatory issues for small- to mid-size firms. With over 50 years of experience in the securities industry, David is an expert in all regulatory aspect of broker-dealer compliance and has been leading Compliance Matters to success for over 25 years. In addition to his role as CEO, David serves as the firm’s General Securities Principal, Chief Compliance Officer, Chief Financial Officer and FINOP, as well as providing overall business consulting.
After serving his country in the Korean War, David attended Cornell to study government. Upon graduation he began working for a friend, and later transitioned into working on Wall Street. An immediate success, David co-founded the NYSE member firm of Mack, Bushnell & Edelman, before launching Compliance matters in 1991. He holds the SERIES 7, 24, 27, 63, and 79 licenses.
David credits his success to his passion, care for people, hard work, education and outstanding personality. He lives in New York City.