2012 FINRA District Committee Election Candidate Profiles – District 11


Stephen Sussman
Manager, CFO and Finop
Sussman Financial Services, LLC



My entire career has been devoted to broker dealer accounting and compliance. While being employed as an NASD senior examiner, I obtained valuable knowledge of the securities industry and broker dealer regulations. I then  pursued my CPA license while working for a big 3 accounting firm,auditing financial services firms. In 1989, I started my own company offering compliance, accounting, and CPA auditing services to broker dealers. I have expanded this firm into servicing investment advisers, hedge funds and private equity firms having clients throughout the United States and have expanded into international clients. In addition to my strong education background, I have continued to expand my compliance, industry and accounting knowledge by attending numerous conferences, seminars, reading industry publications and through mentor relations. My licenses include the series 7, 24, 27 and 63, and have maintained my CPA license. I have been a devoted husband for 28 years and father of two daughters and recently have become a proud grandfather of a new born baby boy. I am very active in my community and have been a member of the Salem Exchange Club one of the oldest civic organizations. With the help of my fellow exchange members we have raised hundreds of thousands of dollars for local charities. I personally have held several officer seats including president, treasurer, and have sat on the board for over 10 years and also serve on an office park condominium committee as treasurer.

I am running for a seat on the district conduct committee as I am a strong believer in the self-regulatory system. I want to participate on the continued integrity that FINRA has been bringing back to the market place. As my resume displays, I have spent my entire career servicing broker dealers in many capacities. I have a strong understanding of the industry and the regulatory world and feel I have a lot to offer with my experience to the district committee and would be more than honored to represent FINRA on a district committee. I have always acted in business and every aspect of my life with the highest ethical standards.

I am willing to put the time and effort it takes to perform my duties as a committee member at the highest possible level. As a person who has dedicated his whole working life to compliance, I feel I would be an excellent candidate for district conduct committee seat. I have an excellent reputation in the industry and take great pride on continuing this status. In closing, I consider myself an over achiever and will perform my duties well beyond any expectation of my fellow FINRA members.

Video: http://www.wmur.com/NH-Victims-Of-Bernie-Madoff-React-To-Sentencing/-/9858568/15685554/-/q2qbai/-/in
Website: http://www.linkedin.com/pub/steve-sussman/6/829/183
Resume or CV: http://regulatorycompliance.com/resume/document.pdf