Walter A. Kapuscinski


Mr. Kapuscinski has been associated with the Financial Services Industry in the securities portion of the business since 1966 in both the public and the private sectors. He has held senior positions as Chief Administrative Officer, Founding Broker Dealer Principal, General Securities Principal, Senior and Compliance Options Principal, Municipal Principal, and Director of Compliance, which involved compliance management, business development and product enhancement responsibilities, as well as Capital Markets compliance. He began his career on the trading floor of the New York Stock Exchange and migrated to the Regulatory and Surveillance Department. He has been associated with small, medium and large brokerage firms as well as U.S. and international banking organizations. He is currently qualified in the US as a General Securities Principal, Options Principal, Municipal Securities Principal, General Securities Sales Supervisor, Branch Office Manager, Registered Representative, Investment Banking Representative, Operations Professional, and formerly in the UK with the FCA as a Manager, and General Representative. He was associated with the Securities Industry and Financial Markets Association Membership (SIFMA), and Self-Regulation and Supervisory Practices Committees and is currently a member of their Compliance and Legal Division, as well as an active arbitrator for the Financial Industry Regulatory Authority (FINRA), a former member of the Emerging Markets Traders Association, and the National Society of Compliance professionals. He is qualified as an expert witness, and serves as an Essay Judge for “The Stock Market Game’s” Writing Competition on behalf of the Foundation for Investor Education sponsored by the Securities Industry and Financial Markets Association.

He advises various sizes of domestic and international financial services industry companies by providing both specialized and general consulting advice on governmental, self-regulatory organization, and regulatory compliance affairs as well as general administrative, operational, and sales and marketing issues. Clients include a variety of Broker/Dealers, Banks, Dealer Banks, Investment Advisors, Hedge Funds, and other providers of financial services. He has over fifty years of progressive administrative, compliance, operational, and sales related experience, and acts as the compliance department and primary regulatory contact (FED, SEC, SRO's, and individual states) for several firms as well as serves as a senior officer and qualifying principal, and is both interim principal for emerging organizations and firms in transition, and a full time principal and FINRA Executive Representative for other broker dealers. These activities allow him to gauge the pulse of the financial service's industrial environment.

He also specializes in startup companies with both domestic and international locations and products, providing advice, and guidance in such areas as sales and trading, regulatory management, registration, accounting and bookkeeping, payroll, blue sky matters, compliance issues, and serves as a legal, audit and regulatory interface. He performs compliance consulting, including the preparation of customized policy and procedures manuals for compliance, supervision (front, middle, and back office). This includes working with in-house or outside counsel to insure each unique business facet is addressed, that risk management is not overlooked, and that client needs are serviced on a diverse and complex basis.

He earned a Bachelor of Science degree from IONA College.