Director of Compliance I Head of OSJ Supervision
Steven has 25 years of experience in the financial services industry, he has held roles as a Specialist on the NYSE and Director of New Business Development at what is now Barclays. During his career, he has held roles such as a Financial Advisor, Compliance Liaison, and Operations manager at organizations such as Wells Fargo Advisors and Prudential. Prior to joining Gladstone, Steven was Supervisory Principal at Northwestern Mutual.
Steven graduated with a BA in Economics from CUNY and holds a Financial Planning Certificate from FDU, several FINRA and Life and Health Authority licenses.
During his career, he has been able to guide and create change through passion and teamwork – all while passing on knowledge to the next future leaders. His role is an extension of our philosophy here at Gladstone which is to be an Ambassador and Advocate for the Financial Advisors he represents. Steven believes it is important to retain a dialogue with this community and educate where necessary in order to have the best outcome for all stakeholders.
Steven strives to be one step ahead and forward thinking in order to anticipate trends that may impact our organization.
Steven loves the outdoors and is passionate about family and faith. He is an avid community contributor and serves as an Auxiliary Police Officer where he lives. He is inspired when he see others working with a concerted effort to reach their potential. Steven's choice of career was inspired from the movie Wall Street.
Favorite quote: “Give a man a fish and you feed him for a day; teach a man to fish and you feed him for a lifetime”, Maimonides
Favorite food: Corned Beef
Favorite film: The Matrix
Team: New York Mets