Michael brings many years of real world experience working in the financial services industry. Mike has functioned as a FINOP for both NYSE and FINRA member firms and in addition has held positions as a branch office manager and chief compliance officer. Michael has spent the last eleven years as a securities regulatory consultant focusing on compliance matters for broker-dealers such as:

• Anti-Money Laundering
• FINRA Examination Preparation
• New Member Applications
• Continuing Member Applications
• Business Continuity Plans
• Privacy Policy Testing
• Preparation of Written Supervisory Procedures
• Review of Written Supervisory Procedures
*Michael R. Schaps is not licensed to practice law.

Employment
Michael R. Schaps has previously served in various accounting positions for over fifteen years in the Financial Services Industry. Michael also proudly served as a commissioned officer in the National Guard and Army Reserve.

Education
1973 - BBA Accounting - Bernard. Baruch College of the City Of New York, New York

Current Regulatory Registrations
• .FINRA Series 27 Financial and Operations Principal
• Series 7 General Securities Representative
• Series 9/10 General Sales Supervisor

Speaking Presentations
Michael R. Schaps has served as a speaker for various financial industry associations and financial institutions, including:
• SILA (Securities Industry Licensing Association)
• Mesirow Financial