Broker-Dealer Accounting Fundamentals & Networking Tech Session

Sam has over twelve years of diversified auditing, accounting, and tax experience. His industry expertise is focused in financial services. Sam’s experience includes broker dealers that operate alternative trading systems and execution management systems, broker-dealers that specialize in trading fixed income and equity securities, broker-dealers participating in underwritings and private placements, and foreign-owned broker-dealers operating pursuant to Rule 15a-6 of the Securities Exchange Act of 1934. Sam’s experience also includes registered investment advisors, domestic and offshore hedge funds, private equity funds, and fund of funds. Sam received his BA from Queens College, City University of New York. INDUSTRY EXPERTISE || Financial Services | Manufacturing and Distribution SERVICE SPECIALTIES || Accounting | Tax LICENSES & CERTIFICATIONS || Certified Public Accountant, New York MEMBERSHIPS || American Institute of Certified Public Accountants | New York State Society of Certified Public Accountants

Chris has over 35 years of experience in financial leadership roles in public and private companies growing broker dealer operations and integrating accounting & clearance systems. He led financial aspects of strategic corporate structuring transactions including acquisitions, management buyouts & IPO efforts. Chris began his career with a Big Four accounting firm and, prior to joining RSM, he was the Chief Financial Officer of Apex Fintech Solutions which enabled modern investing across asset classes through an ecosystem of platforms, APIs and services. At RSM, Chris is leading the Capital Markets Consulting Practice. Chris has a strong background in Regulatory compliance, demonstrated through his collaborations with regulators on development and reform initiatives. He also possesses a hands-on approach to day-to-day financial operations.

Richard M. Feldman, CPA, heads up the Northeast practice of Maven Strategic Solutions, an outsourced CFO and FINOP firm that services clients nationwide. He has served as a CFO and FINOP for various companies for over 20 years, including firms ranging from large national self-clearing firms to small start-ups, including such notable names as Waterhouse Securities, Muriel Siebert Securities and BUYandHOLD Securities. Prior to becoming a FINOP, he worked in the audit group of Deloitte & Touche, servicing such clients as Merrill Lynch, Dean Witter and Bear Stearns. He has a particular expertise in small to medium-sized entrepreneurial firms, including start-ups, with direct hands-on experience in many facets of the broker/dealer industry including retail, institutional, discount, investment banking and proprietary trading. He has been an active member of the NYSSCPA’s Broker/Dealer Committee, frequently serving as an expert speaker on net capital and FINOP issues at industry-wide seminars.