      Tel: 281.367.2454
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        Michael R. Schaps*

          Director of Regulatory Compliance

            Michael R. Schaps brings many years of real world experience working in the financial services industry. Michael 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

          Employment

            Michael 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

            BBA Accounting – Bernard Baruch College of the City Of 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 Schaps has served as a speaker for various financial industry associations and financial institutions, including:

            * SILA (Securities Industry Licensing Association)
            * Mesirow Financial

          *Michael R. Schaps is not licensed to practice law

          Legal Alerts

              * Can Broker-Dealers and RIAs Use Projected Returns Without Violating SEC and FINRA Rules?
              * What Chairman Atkins’ FINRA Conference Speech Means for Broker-Dealers and Investment Advisers

          Videos

              * Can Broker-Dealers and RIAs Use Projected Returns Without Violating SEC and FINRA Rules?
              * What Chairman Atkins’ FINRA Conference Speech Means for Broker-Dealers and Investment Advisers

          Contact Us

            2002 Timberloch Drive, Suite 200
            The Woodlands , TX 77380
            Tel: (281) 367-2454
            Fax: (866) 338-6353
            Email (click here)
            Make a payment

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