Bernard “Bob” Frize
BBA, Manhattan College
Bob has over 30 years of experience in the financial services industry. He currently serves as a regulatory compliance consultant and CCO for broker-dealers, registered investment advisors, and registered investment companies. His clients have included hedge funds, funds of hedge funds, broker-dealers, mutual funds, exchange-traded funds, and other alternative products for investment advisers. He has successfully managed regulatory examinations by the SEC and various self-regulatory organizations and has extensive experience with order management systems, compliance software applications, quote providers, and internal proprietary systems to monitor and analyze compliance activity.
Prior to Foreside, Bob worked at New York Life Investments boutique, IndexIQ, as a senior compliance officer, was a registered principal and hybrid CCO with LPL Financial, was engaged at Pershing, LLC to work on a specialized institutional order desk for advisors, small hedge funds and large family accounts and also worked as a Branch Control Manager for the broker-dealer division of Pershing Advisor Solutions.
Specialties: Registrations 7,63,24,4,9 & 10