Mike is responsible for all aspects of the firm’s compliance program including responding to regulatory requests, ADV updates, regulatory reporting, registrations and personal trading. He also creates and updates firm policies, procedures and manuals, reviews marketing material and daily trade reports and remains current on regulatory changes and initiatives. He was previously with Fidelity Investments, World Savings, and State Street Corporation, as well as being an adjunct lecturer at Suffolk University. He earned his BA and MBA from Bentley University, and also holds the Investment Adviser Certified Compliance Professional designation