Dave is the Managing Director of Mainstay Capital Market Consultants, a strategic partner to Smarte Investments in the areas of regulatory compliance and supervisory functions. In a career spanning more than 30 years, Dave Paulukaitis has been actively involved in virtually every aspect of broker/dealer compliance. He began as an examiner with NASD (now known as FINRA) conducting financial/operational and sales practice examinations on a wide variety of broker/dealers. Dave served on a number of national NASD committees and task forces, was an instructor in NASD’s accredited examiner training program for ten years, and was a two-time recipient of NASD’s Excellence in Service Award.
Dave provides regulatory and compliance consulting services to securities broker/dealers and registered investment advisers throughout the United States, focusing on the areas of supervision, supervisory controls, sales practices, and regulatory risk management. He has also conducted a number of regulator-mandated undertakings of broker/dealers in conjunction with the resolution of SEC, state and FINRA enforcement proceedings. Dave’s work with ASN & Smarte Investments focuses primarily on risk management, working closely with the Chief Compliance Officer and with ASN’s advisers in identifying and addressing potential conflicts of interest.