Operations

KAREN NAZZARENO

Senior Vice President – Controller

Ms. Nazzareno has over 25 years accounting and finance experience in various public and private sectors. Prior to joining the firm in 2010, she worked for a group of venture capitalists with an emphasis on SEC reporting, financial analysis, mergers and acquisitions and raising capital for start-up new businesses as well as training personnel and implementing strategic business planning for those ventures. Ms. Nazzareno earned her BBA from Dowling College in 1987. She is a registered CPA in New York and a member of the AICPA and NYSSCPA and holds a Series 27 License.

ALEX CIULLA

Senior Vice President – FinOp

Mr. Ciulla has 26 years of industry experience in operations, including all phases of back office functions. Mr. Ciulla has a strong background in equity and fixed income products. Mr. Ciulla plays an integral part in guiding the firm through FINRA examinations and financial reporting.

JUDITH ASHWORTH

Senior Vice President – Administration

Ms. Ashworth has over 30 years experience in Office Management and H.R. Administration. She is a licensed registered representative whose career began at Dean Witter. She has worked as an Executive Assistant, Operations Manager and H.R. Administrator with L. F. Rothschild, Tucker Anthony, Inc., Blaylock & Co, and Macquarie Bank USA. She has completed various business courses at Molloy College.

RICHARD HANLEY

Senior Vice President – Compliance

Mr. Hanley has over 30 years on Wall Street, 26 years experience as a compliance officer. He has served as Director of Compliance for NYFIX Millenium, Laid Law Adams & Peck, Direct Brokerage, Ladenburg and Thalmann & Company. Mr. Hanley holds the NYSE Series 14 Compliance Official; NASD Series 8 (9/10) Branch Office Manager; Series 24 General Principal; Series 4 Registered Option Principal; Series 7 Registered Representative; Series 63 Agent; SIA Compliance & Legal Division; National Society of Compliance Professionals. Mr. Hanley holds his Associates and Business degrees from Suffolk Community College.

KEVIN WOOD

Senior Vice President – Chief Technology Officer

Mr. Wood has over 30 years of experience with digital systems design, networked systems management and IT Capital Project Management. His career began in 1977 at Hewlett-Packard Co., including a term at HP Labs. He’s also held technical contributor positions at Intel, and management position with Information System Design. Prior to joining Robert Van Securities, Mr. Wood consulted and supported computers and network information systems for energy sector clients Pacific Gas & Electric, and Chevron’s Richmond Technology Center, and Financial Services clients including RVS, and Woodford Capital Management. Mr. Wood holds a Bachelor of Science degree in Electrical and Electronic Engineering from Howard University.

SHARON WONG

Executive Assistant