Robert A. Fortino, Managing Partner of DFP Partners, advises broker-dealers on FINRA/SEC membership and their adherence to net capital rules during daily operations, committed underwritings, and periods of re-structuring. Mr. Fortino works with investment banks, institutional trading firms, alternative investment firms, and retail brokerage. He sits on the board of a non-profit company and several client firms.
He is a FINRA registered Financial and Operations Principal (Series 27) and a member of the AICPA and the Stockbrokerage Committee of the NY State Society of CPAs. He held senior positions at KPMG, formally Peat Markwick Mitchell & Company, Kidder, Peabody & Co. and Prudential Securities, Inc. Mr. Fortino earned a BBA in Public Accounting from Hofstra University and an MBA from St. John’s University.
Scott D. Daniels, Founder of DFP Partners, has dedicated over 30 years to leading his CPA and consulting company to expertly fulfill the accounting, supervisory, and compliance needs of financial services firms on an outsourced yet onsite basis. Accordingly, he is particularly skilled at advising clients on the formation, funding, operations, and administration of their businesses. Mr. Daniels holds Financial and Operations Principal (Series 27) and Corporate Securities Limited Representative (Series 62) FINRA licenses. He is a member of the AICPA and the Stockbrokerage Committee of the NY State Society of CPAs and has served on boards of financial services firms. He began his career with KPMG, formally Peat Markwick Mitchell & Company, after graduating cum laude from the University of Hartford.
David R. Portnoff, Senior Partner of DFP Partners, has extensive experience servicing broker-dealers, with an emphasis in the Latin American securities sector. He also directs SDDco Fund Services LLC, which supports privately held funds. Mr. Portnoff worked previously for Moore Capital Management Inc. and McGladrey LLP, performing audits and consulting engagements for FINRA member firms. He is a FINRA registered Financial and Operations Principal (Series 27) and an AICPA and NYSSCPA member. Mr. Portnoff received a Bachelor of Science in Accounting from the University of Hartford.
Rick Daniels, Senior Partner of DFP Partners, has serviced broker-dealers for over a decade. Mr. Daniels works closely with founders from the formation stage, through the life cycle of their business, addressing their specific accounting and regulatory needs along the way. Rick’s areas of emphasis include fixed income trading and Fintech. Mr. Daniels is a CPA and FINRA registered Financial and Operations Principal (Series 27). He graduated from Northwestern University and holds a master’s degree in accounting from SUNY.
Hale Halasy, Partner of DFP Partners, is a compliance and training professional with over 30 years of experience. He leads broker-dealers through the membership process and provides continued assistance to their internal compliance programs. A Certified Anti-Money Laundering Specialist, Mr. Halasy directs the AML testing program of S.D. Daniels & Company LLC.
In addition, Mr. Halasy is a member of FINRA’s Sales Representative Test Writing Committee (’99 to Present), FINRA’s SIE Academic Outreach Committee, and FINRA’s Capital Acquisition Broker Rules Committee. He was a Founder of CCH Wall Street Financial Training and amassed 13 years training compliance professionals to pass securities industry licensing examinations. He holds the Series 7, 14, 24 and 99 licenses. Mr. Halasy maintains memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal and earned a BS from Brooklyn College in Business, Management and Finance.
John Cullinane, Senior Managing Director of DFP Regulatory Services and Compliance Partner of DFP Partners, has over 25 years of compliance experience. Mr. Cullinane works closely with broker-dealers throughout the FINRA membership process and provides continued assistance to their internal compliance programs (i.e. developing and updating procedures manuals, conducting compliance meetings, reviewing and testing compliance programs in accordance with FINRA Rules 3120 and 3130, and assisting clients in responding to regulatory inquiries).
Prior to joining DFP Partners, Mr. Cullinane began his career in compliance at the New York District office at FINRA (formerly NASD) where he served as a Compliance Examiner. In 1999, Mr. Cullinane moved to New York Stock Exchange (NYSE) Member Firm Regulation where he served as a Principal Examiner until 2005. Mr. Cullinane’s responsibilities included conducting examinations of member firms; investigating customer complaints, presenting findings of investigations to member firm, and scrutinizing firms’ anti-money laundering programs. From 2005 to 2010, Mr. Cullinane served as a Divisional Compliance Director for the Eastern Division of Smith Barney, where he oversaw compliance matters for over 400 branch offices.
He is a Certified Anti-Money Laundering Specialist and holds FINRA Series 7, 14, and 24 licensures, as well as memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal. He is also a current member of FINRA’s Continuing Education Content Committee. Mr. Cullinane earned a BS from Brooklyn College in Business, Management and Finance.
Gary Fox , Managing Director and Partner at DFP Partners, is a compliance professional with over 32 years of experience in the financial industry. Mr. Fox began his career in private wealth management with additional experience working on trading desks. Subsequently, he supervised training and consulting functions for four business divisions of Fidelity Investments.
Mr. Fox’s expertise spans various firm sizes, from startups to large financial institutions, where he has held numerous securities registrations including the Series 4, 7, 9, 10, 24, and 63. Mr. Fox’s experience enables him to provide comprehensive compliance guidance tailored to diverse business models of broker-dealers and registered investment advisers (RIAs).
At DFP Partners, Mr. Fox specializes in compliance consulting, acting as outsourced Chief Compliance Officer, facilitating new member applications and registrations, conducting mock audits and branch inspections, and managing customized compliance projects. His understanding of SEC, FINRA, MSRB, and Blue-Sky laws ensures that clients receive informed guidance in navigating regulatory landscapes and achieving compliance excellence.
Mr. Fox was a respected member of the New York Stock Exchange Series 7 Test Writing Committee from 1999–2006. He subsequently was a member of FINRA’s SIE Committee from 2018-2021. Currently Mr. Fox is a member of FINRA’s Series 24 Committee and holds the Series 7, 14, 24 and 99 registrations. Mr. Fox is also a member of the National Society of Compliance Professionals.
Janice Parise, Partner of DFP Partners, joined the firm in 2010 and provides all aspects of FinOp and CFO services to securities industry clients. Ms. Parise has more than 30 years of experience in the financial services field. She specializes in the highly regulated broker-dealer environment, having strong knowledge of the SEC net capital and books & records rules and reporting requirements. Ms. Parise’s former positions include senior roles at various financial institutions. Ms. Parise is a CPA and FINRA Registered Financial and Operations Principal (Series 27). She is vice-chair of the Stock Brokerage Committee, as well as a member of the FINRA Series 27 Exam Review Committee and the FINRA FinOp Working Group. She earned a Bachelor of Science in Accounting from CUNY – Queens College.
Michael Chung, Partner of DFP Partners, joined the firm in 2006. Mr. Chung started his career servicing financial industry clients. During his time at DFP Partners, P.C., Mr. Chung served as FINOP and Chief Financial Officer for a wide variety of Broker-Dealers that engage in private placements, M&A, institutional trading and business activity under governance of Exchange Act Rule 15a-6. Mr. Chung’s expertise lies with small to medium-sized firms, including start-ups. Mr. Chung is a CPA and FINRA Registered Financial and Operations Principal (Series 27). Mr. Chung is a member of the NYS Society of CPA’s Stock Brokerage Committee. He earned a Bachelor of Science in Accounting from CUNY – Queens College.
Andy Miller, Partner of DFP Partners, joined the firm in 2006. Mr. Miller has over 25 years of experience servicing the financial services industry. Mr. Miller’s diversified experience includes financial management and SEC reporting along with controller responsibilities. Prior positions include Audit Manager with Citigroup, Inc., VP of Management Reporting for BNY Brokerage, and also Assistant VP with Merrill, Lynch, Pierce, Fenner & Smith in the International Private Banking Group and the Corporate Credit department. He began his career with KPMG, formally Peat Markwick Mitchell & Company, serving as a senior accountant specializing in the banking industry. Mr. Miller is a FINRA registered Financial and Operations Principal (Series 27). He earned a Bachelor of Science in Accounting from the University of Rhode Island.
Dmitriy Rutitskiy is a Partner at DFP Partners. Mr. Rutitskiy joined the firm in 2012 and provides all aspects of Financial and Operations Principal and CFO services to securities industry clients. Mr. Rutitskiy has more than 17 years of industry experience. Prior to joining DFP Partners, he was with the Macquarie Group for seven years. Mr. Rutitskiy is a Certified Public Accountant and FINRA Registered Financial and Operations Principal (Series 27). Mr. Rutitskiy graduated from Brooklyn College City University of New York with degrees in Accounting and Computer Science.
Michael Glynn is a Principal of DFP Partners, a professional service firm that provides outsourced support to the financial services industry. Mr. Glynn maintains over 25 years of progressive finance and accounting experience. Mr. Glynn began his career in Dublin, Ireland at the public accounting firm William J. O’Connor & Co. He later moved to New York City and served as senior analyst for Paine Webber Inc., financial controller for Tucker Anthony Inc., and financial controller for Wall Street Access. Prior to joining DFP Partners, he acted as US Head of Finance for Macquarie Bank Limited. Mr. Glynn received his Bachelor of Business Studies from the University of Limerick. Mr. Glynn is a Fellow Chartered Certified Accountant, holds his FINRA Registered Financial Operations Principal (Series 27) license.
James Doherty, Managing Director of DFP Partners joined the firm in 2019 and provides oversight to the firms Broker-Dealer clients affirming their day-to-day operations are compliant with all industry rules and regulations. James leads DFP’s Principal Operations Officer (“POO”) division. Mr. Doherty has over 25 years of experience in the financial services industry. Prior to joining DFP Partners he was with Bear Stearns & Co for 15 years working for their Equity Sales and Trading Department as a Trader, Broker, and Head of Operations at the NYSE. Mr. Doherty then worked for 8 years at Bay Crest Partners LLC as a Sales-Trader and Broker. He holds FINRA licenses Series 7,15,25,27,28,55,57,63,99. Mr. Doherty earned a Bachelor of Science degree in Finance from Fordham University.
Casey Muller, Esq. joined DFP Partners in 2017. In his role as Director of Legal, Mr. Muller provides counsel on all legal matters related to DFP Partners. His responsibilities include managing all company legal documents (e.g. client engagement letters, non-disclosure agreements, vendor service agreements, etc.), internal policies, and insurance policies, liaising on human resources and employment items as well as data security and due diligence items, consulting with senior management on the firm’s operational matters, and supervising the firm’s administration department.
Prior to working with DFP Partners, Mr. Muller worked in baseball operations for a player representation agency (2012-2013), a Major League Baseball team (2014), and the Major League Baseball Commissioner’s Office (2015) in their Santo Domingo, Dominican Republic office.
Mr. Muller graduated with a Bachelor of Arts in International Business from Rollins College in 2009 and received his Juris Doctorate from New York Law School in 2013. He is a member of the bar in New York and Florida.
Ross Marlin, a Director with DFP Regulatory Services LLC (DFP-RS), is a compliance professional with more than eighteen years of experience in the securities industry.
He serves as a compliance consultant and CCO for numerous FINRA-regulated broker-dealers, helping to maintain and update their compliance programs. In addition, he has conducted numerous OSJ, branch office, and AML examinations during his tenure with DFP-RS.
Prior to joining DFP-RS, Mr. Marlin’s experience included approximately 6 years in FINRA’s Membership Application Program and over 5 years as a practicing attorney.
Mr. Marlin received a B.A., Cum Laude, in Economics from New York University in 1997, and went on to earn his law degree, Summa Cum Laude, from Rutgers University School of Law in 2000. Mr. Marlin holds the Series 7 and 24, as well as, the Certified Anti-Money Laundering Specialist certification.
Rommel “Mel” Cosio , Director of DFP Regulatory Services, has over 30 years of industry experience. Mr. Cosio works closely with broker-dealers throughout the FINRA membership process and provides continued assistance to their internal compliance programs (i.e. developing and updating procedures manuals, conducting compliance meetings, reviewing and testing compliance programs in accordance with FINRA Rules 3120 and 3130, and assisting clients in responding to regulatory inquiries). He serves as outsourced CCO and outsourced AML Compliance Officer for multiple firms.
Prior to joining DFP Partners, Mr. Cosio has served in multiple roles with various broker dealers ranging from boutique firms to full-service institutional firms. His past roles include Operations, Sales, Strategy, and Senior Management duties. He began his Wall Street career in 1990 as a registered representative at PaineWebber Incorporated.
Mr. Cosio holds the Series 7, 63, 24 and 99 licensures. He earned a BS from Rutgers University in Finance.
In his spare time, Mel enjoys playing golf and enjoying adventures with his wife and 2 dogs.
Tara Horne joined DFP Partners in 2022 as a Director of Regulatory Services. She has served as a compliance professional in the financial services industry for nearly 14 years. During her career, she has completed thousands of mock exams, has extensive experience leading firms through the IA and BD registration process, as well as designing and supporting effective compliance programs for IA and BD firms.
As a Certified Anti-Money Laundering Specialist (CAMS), Tara has executed AML testing for a variety of financial institutions, as well as consulted with financial institutions on the key principles of money laundering and how to effectively mitigate its associated risks.
Tara also holds a designation as an Investment Adviser Certified Compliance Professional (IACCP); as such she has been a panel speaker at several industry conferences and desktop training seminars.
She graduated from California State University of Long Beach, CA with a BS in Business Marketing and Finance.
Jonathan Lee serves as a Director at DFP Partners, where he is responsible for proactively managing compliance and regulatory risks for his RIA clients. He previously was Director of Compliance at Stash and Chief Compliance Officer of The Midway Group. Prior to The Midway Group, he was a Compliance Manager at Lazard Asset Management, where he was responsible for assisting with the ongoing implementation, monitoring, and enhancement of the investment adviser’s compliance program. He worked in this capacity for other investment advisers, including Soros Fund Management and Avenue Capital Group, and has over 15 years of regulatory compliance experience. Mr. Lee received a B.A. in English and M.A. in Sociology from the University of West Georgia.
Mr. Stanley Chan is an Associate Director with DFP Regulatory Services LLC (DFP-RS), where he is part of a team of consultants who advise FINRA regulated broker-dealers that conduct numerous types of business activities. Mr. Chan previously served as a Compliance Officer at Firstrade Securities Inc. a retail self-directed broker-dealer whose product offerings include US equity and fixed Income trading. Mr. Chan was responsible for the compliance program at the firm, which included creating, reviewing, testing, modifying and maintaining the firm’s policies and procedures. Mr. Chan served as the firm’s Compliance Officer for over 3 years.
Prior to Firstrade, Mr. Chan was a Compliance Officer at FTN Financial for over 9 years. His responsibilities included responding to regulatory inquiries, testing and maintaining the Volcker compliance program, writing and maintaining the Written Supervisory Procedures and preparing the annual training program and Needs Analysis. Mr. Chan conducted branch office reviews of all FTN Financial’s east coast offices and conducted surveillance of employees’ outside brokerage accounts. While at FTN, Mr. Chan earned his Series 24 license (2009) where he, along with other principals, oversaw the day to day activity of over 10 registered representatives.
Mr. Chan was also a Compliance Examiner for the NASD (now known as FINRA) for 2 years conducting Cycle Routine Examinations of member firms overall compliance programs.
Mr. Chan graduated from Long Island University with a Master of Business Administration in Finance in 2005. He currently holds FINRA Series 6, 7, 24, 53 and 63 licenses.
Michelle Abramowitz is the Marketing Manager for DFP Partners and has led the firm’s marketing efforts since 2020. Michelle has eight years of experience and has focused specifically on the financial services industry for four years. Prior to joining DFP Partners, Michelle managed a freelance marketing business that focused on growth marketing for entrepreneurs. Additionally, she worked in Private Wealth Management at AllianceBernstein. Ms. Abramowitz earned a Bachelor of Science degree in Media, Culture and Communication from New York University and received the University Honors Scholar distinction.
Adriana Blanco is an Associate Director with DFP Regulatory Services LLC (DFP-RS), where she is part of a team of consultants who advise FINRA-regulated broker-dealers conducting numerous business activities. Adriana has over eight years of industry experience, most of which was as a FINRA Examiner. During her tenure at FINRA, Adriana led routine cycle examinations and reported to the Boca Raton, New Orleans, and San Francisco FINRA District Offices. Adriana also formed part of the FINRA Program Risk Office for a one-year period, where she conducted quality assurance reviews of FINRA examinations, identified areas of Programmatic Regulatory Risk, and presented findings to FINRA senior management. She has extensive knowledge in many aspects of financial regulation including FINRA Rules, SEC Rules (Reg BI, Reg CF, Reg D, Reg A, SEA Rule 10b, customer protection rules), FinCEN Rules (CDD), MSRB Rules, and the Bank Secrecy Act.
Adriana’s broad financial product knowledge includes expertise in the mechanics of private placements, public offerings, equities, fixed-income products, mutual funds, municipal securities, and variable annuities. Since 2020, Adriana has specialized in regulation of the capital markets space including M&A Advisory, placement agents, firms with niche businesses, and investment banking.
Adriana graduated from the University of Puerto Rico with a BA in Finance. She currently holds FINRA Series 7 and 24 licenses.
Alex Hecker is an Associate Director with DFP Regulatory Services LLC (DFP-RS), where he is part of a team of consultants who advise FINRA-regulated broker-dealers conducting numerous business activities. Alex has over 11 years of industry experience, mostly serving in the retail client broker-dealer space. Over the course of his career, Alex has worked extensively in broker-dealer operations, third party vendor solution procurement, regulatory response management, licensing and registration, trading surveillance and oversight, customer complaint handling, and regulatory reporting. Additionally, Alex has served cross functionally with affiliate Investment Advisory Firms and crypto currency exchange partnerships and has closely collaborated with banking and lending compliance.
Alex has been focused specifically on broker-dealer compliance for more than half of his career, working to build supervisory programs to execute and actualize Written Supervisory Procedures established by member firms.
Alex graduated from James Madison University and currently holds Series 7, Series 66, Series 24, and Series 4 professional licenses.
Angelina Fortino, Manager at DFP Partners, joined the firm in 2017 and provides all aspects of Financial and Operations Principal and CFO services to securities industry clients. Ms. Fortino has approximately 6 years of experience in financial services. Prior to joining DFP Partners, she was with Pricewaterhouse Coopers (PwC) in the audit department. Ms. Fortino is a Certified Public Accountant and FINRA Registered Financial and Operations Principal (Series 27). She earned a Bachelor of Science in Accounting and Masters in Accounting both from Northeastern University.
Roshni Drepaul , Manager at DFP Partners, joined the firm in 2017 and provides all aspects of Financial and Operations Principal and CFO services to clients in the securities industry. Mrs. Drepaul has approximately six years of experience in financials services. Prior to joining DFP Partners, she worked in the tax practice at Ernst & Young LLP. Mrs. Drepaul is a Certified Public Accountant and FINRA Registered Financial and Operations Principal (Series 27). She earned both her BBA and MBA in Accounting from Pace University.
Doreen Vega has over 15 years of experience working in the financial services industry at various Broker Dealers. She joined DFP Partners in 2022 where she currently serves as an Accounting Manager. Prior to DFP Partners, from 2007-2022, Doreen worked at CastleOak Securities, Cantor Fitzgerald, PJT Partners and Knight Capital Group. Doreen holds an MBA in Finance and a BS concentration in Accounting from William Paterson University. Ms. Vega is a member of the NYS Society of CPA’s Stock Brokerage Committee. Additionally, Doreen holds a CPA license with the State of New York and two professional licenses, Series 99 and 27.
Tatiana Nallbani joined DFP Partners in 2022 as an Accounting Manager. She has over 10 years of experience working in the financial services industry at various Broker Dealers. Prior to DFP Partners, she worked at Fidelity Investments, Sumitomo Mitsui Banking Corporation , Depository Trust and Clearing Corporation. Ms. Nallbani holds a Bachelor of Science in Accounting from University of South Florida. She also holds a CPA license with the State of New York and a Series 27 license.
Danielle Calabro , Compliance Manager, joined DFP Partners Regulatory Services LLC (“DFP-RS”) in 2005. Ms. Calabro is a compliance professional with over 15 years’ industry experience. Ms. Calabro manages and conducts independent AML examinations for DFP-RS clients and holds the Certified Anti-Money Laundering Specialist certification. In addition, she assists consultants in the maintenance of our clients’ compliance programs and participates in various projects including FINRA membership applications. Ms. Calabro earned a Bachelor of Arts in Media Studies from Hunter College in 2004.
Roxanne Knobel joined DFP Partners in June 2017 as a Registration Associate after previous registration experience at a Broker Dealer/Investment Advisor/Insurance Firm. She was later named Senior Registration Associate before being promoted to Registration Manager. While specializing in Investment Advisor registrations, Mrs. Knobel has over 7 years of experience working with FINRA, SEC, and State Regulators, for both Broker -Dealer and Investment Advisor Firms. The Registration Department, as a whole, coordinates filing related to Form U4/U5, Form BD/BR, Form ADV, Form PF, Form 13F, Form ATS, and more. Mrs. Knobel received a Bachelor of Science in Psychology from Drew University and a Master of Science in Psychology from Walden University.
Pete Van De Beek has over 8 years of investment-advisory related experience, advising clients on regulatory obligations and helping to maintain their compliance programs on a BAU basis as the outsourced CCO. Previously, Mr. Van de Beek was an asset management attorney at Nomura where he advised the corporate research and asset management teams on all regulatory and contractual considerations related to new business initiatives. Additionally, Pete worked at a compliance consulting firm, Cipperman (since acquired by ACA) where he led client engagements and built and maintained compliance programs for RIAs and broker-dealers. He received his JD in corporate law from Pace University School of Law and his BA in Psychology from George Washington University. Mr. Van de Beek is currently licensed and in good standing with the New York Bar Association. In his spare time, you can find Pete on the golf course or in Ocean City, NJ.
Anthony Shaw , Manager at DFP Partners, joined the firm in 2021 and provides all aspects of Financial and Operations Principal and Chief Financial Officer services to securities industry clients. Mr. Shaw has over eight years of diversified experiences in financial services. Prior to joining DFP Partners, he worked at the Big 4 accounting firms Deloitte and Ernst & Young. Mr. Shaw is a Certified Public Accountant and FINRA Registered Financial and Operations Principal (Series 27). He earned both his Bachelor of Business Administration and Master of Science in Accounting and Taxation from Baruch College.
