Bio

Mr. Di Mango has extensive experience in the financial services industry including two plus years at FINRA as a Principal Regulatory Coordinator, during which time he monitored and evaluated the financial, operational and sales practice condition of various member firms. He has worked in various capacities from Operations Supervisor to Chief Compliance Officer and AML Compliance Officer. He has handled numerous SEC, FINRA, NYSE, CBOE, CFTC, NFA and state jurisdictions examinations, in addition to filing applications and registrations of varying complexity to same. He has extensive experience with securities Rules and Regulations, including experience with the Investment Advisers Act and Investment Companies Act. Additionally, he holds the necessary FINRA licenses.