Securies Industry Compliance & Advisory Services

SECICAS specialize in shepherding FINRA applicants through the New Member Application Process. As a former examiner and supervisor in FINRA’s New York and New Jersey offices, principal of SECICAS has extensive experience in dealing with the Membership Application Program. Additionally, SECICAS personnel were involved in many aspects of the development of the rules dealing with new member applications. SECICAS recognizes a new member applicant’s need for a fast approval of its application. As such, SECICAS will work with the applicant and FINRA to bring about a speedy approval of each applicant’s new member application, thus enabling the applicant to commence business as a FINRA member in a short period of time.

Our Principal - Biography

Stephen O. Simon is the President of Securities Industry Compliance and Advisory Services, LLC.  Stephen’s industry experience includes over 22 years with FINRA in the New York City and Woodbridge, NJ District Offices.  Stephen began his FINRA career in the New York District Office as an examiner¸ eventually becoming a supervisor.  During his FINRA career, Stephen was involved in many of the major cases completed, and for which sanctions were obtained by those offices, including those involving sales practice, financial and operational, and membership application and continuance matters.

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