Financial Services Director

Stephen K. Brandt

Springfield, NJ

*******@*****.*** 845-***-****

PROFILE:

Seasoned Financial Services executive with CFO, Compliance (CCO) and HR/Administration managerial experience.

Active SEC Broker-Dealer (BD) registrations.

Extensive financial accounting experience including complex reporting and regulatory compliance.

Routinely facilitated SEC & NFA financial audits.

30+ years of experience within G/L, Payroll, benefit administration, Inventory, lease, and cost analytics.

INDUSTRY CERTIFICATIONS: TECHNICAL SKILLS:

SEC Active Registrations – Series 7, 24, 27, 99 Excel QuickBooks Outlook Global Relay

EXPERIENCE:

July 2018 – April 2023 (employed); Custodian (May 2023 – December 31, 2023); Consultant from

from January 2024

AEON Capital Inc. (BD) – previously New York, NY

CFO - FINOP – CCO (Audit, Policy, & Compliance)

Managed independent and SEC audit examinations for financial and operational compliance adherence.

Recurring interface with vendor, legal, banking, and internal administration on maintaining corporate procedures, external compliance, and regulatory directives.

Established procedures and policies between revenue-producers and operations personnel, including dispute resolution and delineation of regulatory mandates.

Coordination with revenue-generators to ensure smooth integration of both ongoing and new business initiatives.

July 2008 – July 2020

Parker Global Strategies, LLC (BD & RIA) - Stamford, CT

SVP – FINOP/CFO-Controller, Chief Compliance Office, & HR Director

Led internal audit team responses-ref: BD and RIA compliance and accounting operations queries.

Established and proactively enforced policy and procedures for Income-Producers, Accounting, Operations, Compliance, and Administration personnel.

Organized regular senior executive presentations, with key department officers, involving major business initiatives, such as organizational restructuring and revenue alignment opportunities .

Ensured administrative practices were conducted efficiently with breath of oversight encompassing benefit administration, lease and rental negotiations, and legal matters. Routinely enhanced efficiency and effectively resolved a diverse set of challenges.

CAREER HIGHLIGHT

June 1980 - June 1995

Spear Leeds & Kellogg - New York, NY

Director – CFO/Partner

Organized newly created department that formulated the business plan, and managed both systems design and implementation procedures for the first real-time consolidated inventory and profitability reporting system. Primary goal was in assessing risk: capital commitment, utilization, and concentration, targeted for “up to the minute” evaluation and feedback by CEO, COO and select Executive Committee members. Future development efforts included integration of the facility into clearing customer community, creating value-added and profit-generating marketing streams.

Produced and directed the first cost accounting, allocation, and budget reporting system which both accurately pinpointed bottom line contributions of each primary profit center, the result of which often determined future business concentration/redirection.

Initiated the introduction of two clearance customers who contributed over $1.0 million in additional high margin revenue in a newly introduced business line.

Conceived and organized the acquisition of a profitable OTC order execution and clearing operation generating first year revenues in excess of $10 million.

Directed Financial Services staff in the installation and administration of a multi-user local area network resulting in a manual process elimination, shared resource deployment, and more expedient and meaningful management financial reporting.

Integrated customized procedures and automated programs resulting in over $250K in Financial Services department expense reductions in addition to creating substantial workflow efficiencies.

Streamlined the monthly reporting package of firm profitability and budget condition, balance sheet and financial/regulatory capital position. Additionally, established a timely communications program for regularly informing all senior management levels on firm’s financial status and upcoming points of attention.

EDUCATION:

MBA – Finance; BBA - Accounting Iona College, New Rochelle, NY

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