CBG Financial Group, Inc.
I am the President and CFO of a small BD with 40 producing representatives in 2 offices. I have held positions as a branch manager, Chief Operating Officer and President. I graduated from Florida Atlantic University with a degree in Accounting and I hold the Series 4, 7, 24, 27, 53, 55, 63 and 66 licenses.
I have spent most of my 16 years in the industry dealing with compliance, financial controls and supervisory issues that affect small firms. I have extensive experience in a variety of products including equities, fixed income, annuities, private placements, IPO's and structured products.
I am running for a seat on the District Committee because I believe that I need to be engaged in direct dialog with FINRA concerning its rule proposals and activities that directly affect member firms in the District.
Given my extensive experience in dealing with FINRA, I feel that I could be an effective advocate for small firms and the challenges that we face.
Vice President, Audit
Cetera Advisor Networks, LLC
Ken Bell is Vice President, Audit for Cetera Financial Group, a position he has held since Cetera’s inception in 2010. Prior to the formation of Cetera, he held the same position with ING Advisors Network. He is responsible for leading a compliance audit program for the group’s four independent broker-dealers and is involved in other group risk management projects and initiatives. He recently led the group’s 15-month project to develop policies, procedures and training leading up to the implementation of FINRA Rules 2090 and 2111. Prior to joining ING in 2000, Ken was with the NASD’s (n/k/a FINRA) Atlanta District Office, where he spent most of his 17 years managing a field examination staff. He was also significantly involved in developing a training and performance support system for NASD examiners. Prior to his work with NASD, Ken worked in corporate accounting. He is a graduate of the University of Georgia and received the designation of Certified Regulatory and Compliance Professional (CRCP) through the FINRA Institute at Wharton. Ken is frequent speaker at industry conferences and is an active member of the National Society of Compliance Professionals (NSCP), the Financial Services Institute (FSI), the Securities Industry Financial Markets Association (SIFMA) Compliance and Legal and Internal Audit Societies, and the Georgia Society of CPAs. He currently serves on the NSCP Board of Directors.
Having worked for NASD (n/k/a FINRA) for 17 years, and having been with ING and Cetera for the last 13 years, I have a unique, balanced perspective on this industry. I understand the issues and parameters within which FINRA must operate, as well as the burdens and costs under which member firms must operate. I would like to use my unique blend of experience to communicate to FINRA industry concerns and trends, so that these can be addressed in a practical, cost-effective manner. I would also like to provide guidance during the rulemaking and amendment process, so that proposed new and amended rules properly reflect the realities of operating a broker-dealer in the current environment.
David G. Pittinos
Financial Advisor/Financial Planning
1st Global Capital Corp.
After graduating from Union College in 1969, I entered the financial services industry, where I have been involved except for a brief respite in the military and insurance industry. Since that time I have been an arbitrator (1987) and a member of a Business District Committee. As a former President of the Florida Securities Dealers Association, I had the opportunity to be involved with both the business and political sides of our business. I have managed offices for both Paine Webber and Morgan Stanley and am currently a Certified Financial Planner and a Chartered Life Underwriter. In addition, I act as an expert witness and am currently the Treasurer of the Martin County Estate Planning Council.
Simply, I am running as a candidate because I care about our industry and the firms and clients we represent. My experience as a branch manager and producer allows me to understand the complexities of running a business as well as giving me the ability to impartially represent our member firms.
Firms should vote for me to represent them because I know their issues and can articulate their needs.
Charles Lambert White, III
Charles White (Bert) is a Managing Director and Complex Manager for Morgan Stanley in Boca Raton Florida. In this role, Bert supervises 135 Financial Advisors who oversee $15.5 Billion in Assets. The business mix of his Complex includes Retail Private Client Business, Institutional Business, Corporate Services Business in addition to a substantial International Business concentrated in the CARICOM Region.
Prior to managing the Boca Raton office, Bert was the Branch Manager of the Omaha Nebraska Morgan Stanley Smith Barney Branch with 50 Financial Advisors and $4 Billion of Client Assets. Prior to his Omaha Nebraska assignment, Bert was a successful Financial Advisor in Atlanta, GA for 8 Years.
Bert earned a BA in Political Science from The University of the South (Sewanee) and currently serves on their Board of Trustees.
As a 21 year veteran working with clients as a Financial Advisor, Branch Manager and Complex Manager, I believe I would bring a unique perspective to the position of District Committee Member. These various capacities have enabled me to have the pulse on the industry from the view of both clients and Financial Advisors. If given the privilege to serve as a District Committee Member, I would be committed to providing sound, fair and balanced advice to all issues put forward to this committee.
I humbly ask for your support as a candidate for this position.