Team Members

Charles Smulevitz is a dedicated professional in the field of financial compliance, specializing in FINRA rules and regulations. With a strong experience in compliance, he brings analytical precision and a keen eye for detail to his work, ensuring that financial institutions adhere to the highest standards of regulatory compliance. 

Charles holds a Bachelor’s degree in Mathematics, which has provided him with a solid quantitative background that he skillfully applies to navigate the complexities of the financial industry. His academic achievements reflect his commitment to intellectual rigor and problem-solving. 

Beyond his professional endeavors, Charles is known for his passion for continuous learning and his commitment to staying updated on evolving regulatory landscapes. He actively seeks opportunities to contribute to the field’s thought leadership, sharing insights and best practices with his peers. 

Charles has been practicing compliance for over 15 years and holds numerous FINRA certifications including the Series 4, 7, 24, 28, 53, 55, 66, 79, 87 and 99. Charles is also the founder of his own compliance consulting firm since 2019.