Michael Niedzwiedz

The Alaric Team

• Guy F. Talarico
• Edward J. Cook
• Stephen L. de Vore
• Joseph M. DiBartolo
• Michael Dugan
• Bob Frize
• Kathy L. Glass
• Kathleen M. Hendriks
• Mildred Hernandez
• Abigail Hooper
• Michael A. Huber
• Christopher Lewis
• William S. McNish
• Michael Niedzwiedz
• Claudia Ranieri
• Carl M. Rizzo
• Lisa P. Sullivan
• Melissa Talarico

Michael Niedzwiedz, Assistant Director

Michael Niedzwiedz
Assistant Director

Office: Chicago
Phone: (917) 886-8867
Fax: (212) 608-1606
Email: mniedzwiedz@alariccompliance.com

Michael Niedzwiedz is an investment finance professional with over 18 years in the industry. He is experienced in brokerage operations, new account processing and compliance and investor relations. He is accomplished in sales support, customer service and marketing, and experienced in compliance areas such as FINRA "Know Your Client Rule," Investment Advisors Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, The Office of Foreign Assets Control ("OFAC") and Employee Retirement Income Security Act (ERISA).

Mr. Niedzwiedz' professional experience includes 9 years managing Portfolio Operations and Separately Managed Accounts for First Trust Advisors LP, where he established and implemented compliance and new account procedures for separately managed accounts; created and launched compliance and new account procedures for foreign clients; created training programs and trained over 50 staff members on separately managed accounts; and co-managed the investor relations team for a closed end fund complex with 14 different funds. He was also responsible for all retail client communication and SEC, FINRA and Dept. of Labor compliance issues.

Mr. Niedzwiedz holds Bachelor of Science degrees in Economics and Finance from De Paul University. He began his career as an Institutional Marketing Assistant at Chicago Board Options Exchange, the largest options exchange in the U.S., then became a Financial Consultant with A.G. Edwards & Sons and an Investor Services Representative with Vision Investment Services, Inc.

Mr Niedzwiedz is a talented instructor and trainer in financial products and services to retail clients and investment professionals. He holds FINRA Series 24, 7, 63 and 65 Securities Licenses and an Illinois Life and Health Insurance License.