Frank Martorana is a Director at Alaric Compliance, and career compliance professional with over 20 years of industry experience.
Mr. Martorana is a quality focused, detail oriented senior compliance professional, and liaison with hands on experience and a proven track record of providing practical compliance solutions for high priority business goals and strategic senior management decisions. Skilled troubleshooter, problem solver and big picture thinker with ability to translate business intelligence and performance management requirements to conform with security regulatory requirements.
He has provided oversight for the review, and testing of personnel and procedures to ensure compliance with FINRA, SEC and Federal Security Rules & Regulations. He has identified apparent gaps in the Firm’s procedures and created corrective implementation strategies. During his years in the industry, he has supervised 60 registered representatives for Form U4, Form U5, continuing education, outside business activities, gift & gratuity logs, email, and review personal trading accounts for three divisions and served as a Member of the firm’s Investment Banking Committee. He has reviewed marketing material, prospectuses, fact cards, corporate decks, NDA, and engagement letters for final approval for mutual fund and UIT products.
Before joining Alaric, Mr. Martorana was a CCO for Sidoti & Company, LLC, responsible for managing all aspects of the Firm's broker-dealer compliance program and for TS CAPITAL, LLC where he was responsible for managing all aspects of the Firm's broker-dealer and registered investment advisor regulatory compliance programs. He also served as a Principal Examiner for over 14 years with the Financial Industry Regulatory Authority (FINRA) wherehe hired, managed, and supervised a staff of 10 examiners on the qualitative, quantitative, and timely planning and execution of the district office regulatory programs for assigned member firms. Reviewed routine and special investigations of member firm’s financial, sales, trading, underwriting, supervisory and organizational practices, and systems to determine compliance with federal and FINRA rules and regulations. Prior to joining FINRA he was employed by a number of major financial services firms including American Express, Citibank, and Dreyfus Corporation.
Mr. Martorana current holds the Series 7 and Series 24 licenses. He graduated with a BA in English from Siena College.
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