Thomas Santulli

Rule 15c3-1: Capital Adequacy and Rule 15c3-3: Customer Protection

Tom Santulli has thirty plus years of experience acting as a financial/operational professional in the securities industry. Since 2005, Mr. Santulli has specialized in providing consulting and support services to broker-dealers and banks on financial/operational systems and procedures including the review and/or establishment of Risk Assessment Policies and Procedures. He also specializes in the development and delivery of training courses aimed at brokerage professionals intended to assist them in understanding the potential regulatory and financial impact of the deals they structure.

For more than 18 years, he served as a senior vice president and director at Donaldson, Lufkin & Jenrette Securities Corporation, and Credit Suisse First Boston (USA) Incorporated. At both organizations, he was responsible for complex operational and financial issues. During this period he managed the regulatory and operational reporting functions for DLJ’s clearance, banking, capital markets and government primary dealer divisions, and two independent broker/dealer subsidiaries devoted primarily to discount brokerage and institutional sales. Prior to that, he was employed by the Member Firm Regulation Group of the New York Stock Exchange, Inc. As both an examiner and senior finance coordinator he guided firms through the intricacies and nuances of regulatory examinations and compliance with SEC and NYSE regulations.