Thomas Cortese Email & Phone Number
BSA Officer, Sr Director Compliance (US)
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Thomas Cortese Location
- New York, NY, US
Thomas Cortese Work
- 2023 -now BSA Officer, Sr Director Compliance (US) @ Equiniti Trust Company, LLC
- 2015 -now Chief Anti-Money Laundering Officer @
- 2015 -2023 Chief Compliance Officer @ American Stock Transfer & Trust Co., LLC
- 2015 -2017 Chief Compliance Officer @ AST Investor Services, LLC
- 2010 -2015 Case Manager - Enforcement @
- 2009 -2010 Managing Member @ Surf Advisory LLC
- 2001 -2009 Chief Compliance Officer @ Bear Wagner Specialists, LLC
- 1993 -2001 Chief Compliance Officer, Partner @ Wagner, Stott, Mercator, LLC
Thomas Cortese Education
- St. John's University
Master of Business Administration (M.B.A.) (Banking, Corporate, Finance, and Securities Law)
1985-1988 - St. John's University
Bachelor’s Degree (Accounting)
1973-1977 - Holy Cross HS
High School
1969-1973
Thomas Cortese Skills
- Microsoft Word
- Strategic Planning
- Sales
- FINRA
- Management
- Capital Markets
- Securities
- Investments
- Trading
- Risk Management
- Anti Money Laundering
- Securities Regulation
- Financial Services
- Equities
- Hedge Funds
- Corporate Governance
- Series 7
Thomas Cortese Summary
- Thomas Cortese, based in New York, NY, US, is currently a BSA Officer, Sr Director Compliance (US) at Equiniti Trust Company, LLC. Thomas Cortese brings experience from previous roles at American Stock Transfer & Trust Company, LLC, American Stock Transfer & Trust Co., LLC, AST Investor Services, LLC and Financial Industry Regulatory Authority (FINRA). Thomas Cortese holds a 1985 - 1988 Master of Business Administration (M.B.A.) in Banking, Corporate, Finance, and Securities Law @ St. John's University. With a robust skill set that includes Microsoft Word, Strategic Planning, Sales, FINRA, Management and more. Thomas Cortese has 2 emails and 4 mobile phone numbers on RocketReach.
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