Andrew Lucks

Consultant

Andrew supports and advises firms on SEC and FINRA regulatory rules relating to broker-dealer compliance including: broker-dealer supervisory controls testing (FINRA 3110/3120 reviews),  FINRA New Member Applications (NMAs) and Continuing Member Applications (CMAs), and general compliance operations in New York. Andrew also has interest in regulatory rule interpretation, emerging regulatory risks, and FinTech matters.

Andrew began his career in public accounting and moved into financial services compliance as an examiner in Member Supervision at FINRA. Andrew was responsible for conducting in-depth reviews of broker-dealers and conducted examinations assessing top-tier broker-dealer risk management and compliance frameworks.  Most recently, Andrew advised firms on SEC and FINRA regulatory matters.

Andrew holds a Master of Public Affairs from the Marxe School of Public and International Affairs – Baruch College. Andrew also holds a Bachelor of Science in Accounting from Ithaca College.

Send Andrew Lucks a message:

Menu