Garden City, NY (PRWEB) October 25, 2012
Concept Capital Markets, LLC is pleased to announce that Valerie Conigliaro has joined the firm as Compliance Manager/Registration and Licensing. Valerie will report to Rep Poppell, Concept Capital’s Chief Compliance Officer, and will be responsible for administering registration and licensing, coordinating the continuing education programs, and assisting with general compliance matters for the firm.
Valerie comes to Concept Capital with extensive broker-dealer compliance experience. From 2007-2011 Valerie served as Senior Compliance Officer at AXA Distributors, LLC, where she led the in-house continuing education effort, managed certain compliance training programs, worked on registration and licensing, collaborated on compliance manual and written supervisory procedure updates, conducted effectiveness testing of the firm’s compliance procedures, responded to regulatory inquiries, reviewed marketing materials, and assisted with the preparation of regulatory audit filings. From 2001-2007, Valerie worked for Nomura Securities International, Inc. as Vice President – Registration Compliance Manager.
“We are pleased to welcome Valerie to Concept Capital and believe her extensive compliance experience will complement our commitment to an effective and comprehensive compliance program”, said Robert Moore, Chief Executive Officer. Rep Poppell, Chief Compliance Officer, added: “I’m quite pleased that we’ve been able to bring a compliance professional of Valerie’s caliber to Concept Capital and look forward to working with her to support the firm’s growth.”
Valerie will assume the responsibilities from Pamela Beckstrom, who will be retiring from the firm. Pam has been a valuable member of the Concept Capital team, played a key role in preparing the firm as it became an independent broker-dealer, and helped to establish the firm’s comprehensive compliance effort. “All of us who’ve worked closely with Pam over the years could not have had a more capable, loyal and trusted colleague and will be forever grateful for her many contributions to the firm”, said Jack Seibald, Co-Founder and Managing Member.
About Concept Capital Markets, LLC:
Concept Capital offers a comprehensive suite of brokerage and related services that provide traditional and alternative investment managers with solutions that are customizable and scalable. The firm was built by former investment managers to serve hedge fund managers, managed account platforms, institutional investors, family offices, and registered investment advisors with turn-key solutions designed to free its clients to focus on their core competencies. Our offering features world-class custody and clearing options, multi asset class capabilities, leading execution and order management systems, a seasoned execution desk, a range of financing options, a highly professional operations and customer support team, comprehensive portfolio reporting capabilities, and capital introduction. Concept Capital Markets, LLC was established in 2010 following the spin-off of the Concept Capital division of Sanders Morris Harris Inc., whose origins date back to 1995. Concept Capital Markets, LLC is headquartered in Garden City, New York and operates offices in New York City, Greenwich, CT, Chicago, IL, Los Angeles and Del Mar, CA, and Boca Raton, FL. The firm is registered as a Broker Dealer and Investment Adviser with the SEC, and is a member of FINRA, NFA, and SIPC. For additional information, visit http://www.conceptcapital.com. In Global Custodian Magazine’s 2012 Prime Brokerage Survey Concept Capital earned the “Top Prime Broker North America” honor as a result of scoring “Best in Class” in every category by the survey’s respondents with Assets Under Management under $100 million.