Brian Warshaw

Brian Warshaw

Brian Warshaw is a Bates Testifying Expert who started his career over 41 years ago with Merrill Lynch as a Branch Operations Manager. Brian’s career allowed him extensive experience in branch and core home office service and operations throughout the US and overseas markets.  Brian’s in-depth knowledge of the rules, regulations and the practical application of them created a career growing executive responsibilities culminating in his last position in Rockefeller Capital Management (RCM) as head of Wealth Management Operations.  Brian retired from RCM in June 2022.

At Merrill Lynch, Brian created a Branch Operations Manager training program (used worldwide), managed the sale of Merrill Lynch International Wealth Business to Bank Julius Baer (migrating $300 billion in assets), managed all financial transaction processing through the Merrill Lynch core books and record systems.  Several specific areas were direct responsibilities including the margin department, tax reporting, cash management processing, trading, securities pricing (460,000 securities nightly), fraud control, to name a few. Responsibilities included design and execution of policies, procedures and all audit (internal, external and regulatory) interfaces.  The last full year at Merrill Lynch Brian’s areas were audited 147 times with no violations found.  

Rockefeller, an UHNW-focused company that clears through National Financial Services, introduced a variation on past positions.  Under Brian’s direction, the company went from $15 billion AUM to $100 billion during his 3-year tenure.  Brian’s creative approach to developing operations ensured client and Advisor team conversions were done seamlessly while maintaining a tight control environment. 

Brian is a Past President of the SIFMA Credit and Margin Section, a former member of the FINRA Margin Committee, acted as an Arbitration and Legal Matter Subject Matter Expert on behalf of Merrill Lynch and FINRA and held FINRA Series 99, 7, 24 and 28 licenses.


icon-printer

Brian Warshaw

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • Auction Rate Securities (ARS)
      • Auto-Callable Securities
      • Banking
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Business Interruption
      • CDOs
      • Clearing
      • Closed End Funds
      • Complex Products
      • Currencies
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • Data Breach & Risk Management
      • Disbursements
      • Elder Issues
      • Equities
      • Estate
      • ETFs
      • ETNs
      • Exception Reporting Software & Systems
      • Exchanges
      • Fixed Income
      • Foreign Exchange Trading
      • Foreign Accounts
      • Fraud
      • General Market Decline
      • Insider Trading
      • Information Management
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Limited Partnerships
      • Margin
      • Money Laundering
      • Mortgage Backed Securities (MBS)
      • Municipal Securities
      • Mutual Fund Operations
      • Mutual Funds
      • Non-Publicly Traded Alternative Investments
      • Operational Complaints
      • Options
      • Operations
      • Operations & Controls
      • OTC Derivatives
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Preferred Securities
      • Regulation Best Interest - Reg BI
      • RIA Sales & Distribution
      • Risk Management
      • Selling Away
      • Sales Supervision
      • Securities Lending Accounts
      • Structured Products/Structured Notes
      • Supervision
      • Trade Processing
      • Trusts
      • U.S. & International Clearance & Settlement
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • 40 Act – 12B1 Fees
      • Banking
      • Cyber Security & Privacy
      • Employee Stock Ownership Plan (ESOP)
      • Exchanges
      • Fraud
      • Margin
      • Money Laundering
      • Mutual Fund
      • Mutual Fund Operations
      • Operations
      • Operations & Controls
      • Options
      • RIA Sales & Distribution
      • Selling Away
      • U.S. & International Clearance & Settlement
      • AML & Financial Crimes
      • Compliance Solutions
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • Auction Rate Securities (ARS)
      • Auto-Callable Securities
      • Banking
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Business Interruption
      • CDOs
      • Clearing
      • Closed End Funds
      • Complex Products
      • Currencies
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • Data Breach & Risk Management
      • Disbursements
      • Elder Issues
      • Equities
      • Estate
      • ETFs
      • ETNs
      • Exception Reporting Software & Systems
      • Exchanges
      • Fixed Income
      • Foreign Exchange Trading
      • Foreign Accounts
      • Fraud
      • General Market Decline
      • Insider Trading
      • Information Management
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Limited Partnerships
      • Margin
      • Money Laundering
      • Mortgage Backed Securities (MBS)
      • Municipal Securities
      • Mutual Fund Operations
      • Mutual Funds
      • Non-Publicly Traded Alternative Investments
      • Operational Complaints
      • Options
      • Operations
      • Operations & Controls
      • OTC Derivatives
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Preferred Securities
      • Regulation Best Interest - Reg BI
      • RIA Sales & Distribution
      • Risk Management
      • Selling Away
      • Sales Supervision
      • Securities Lending Accounts
      • Structured Products/Structured Notes
      • Supervision
      • Trade Processing
      • Trusts
      • U.S. & International Clearance & Settlement
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • 40 Act – 12B1 Fees
      • Banking
      • Cyber Security & Privacy
      • Employee Stock Ownership Plan (ESOP)
      • Exchanges
      • Fraud
      • Margin
      • Money Laundering
      • Mutual Fund
      • Mutual Fund Operations
      • Operations
      • Operations & Controls
      • Options
      • RIA Sales & Distribution
      • Selling Away
      • U.S. & International Clearance & Settlement
      • AML & Financial Crimes
      • Compliance Solutions
  • AML & Financial Crimes
    • Anti-Money Laundering
    • Third Party Risk Management
    • Internal Investigations
    • Fraud & Risk Management
    • SPACs
  • Compliance Solutions
    • Broker-Dealers
    • Cyber Security
    • Anti-Money Laundering

Credentials

EXPERIENCE

Rockefeller Capital Management, Managing Director - Head of Operations, Wealth Management, Hamilton, NJ, 2019 – 2022

Merrill Lynch, 1981 to 2019; Managing Director, Global Wealth Management (GWIM) Operations, Jacksonville, FL, 2018 – 2019; Managing Director, Margin and Monetary Approvals, Jacksonville, FL, 2007 – 2018; Director, Product Development Department, Jacksonville, FL, 2004 – 2007; Vice President, Asset Transition Services Dept., Denver, CO/Hopewell, NJ/Jacksonville, FL, 1998 – 2004; Vice President, Private Client Operations and Systems Reinvention Dept., Somerset, NJ, 1997 – 1998; Vice President, Systems & Service Planning, Operations Liaison Strategic Development, Somerset, NJ, 1995 – 1997; Vice President/Manager, Client Account System Development, Margin Dept., Somerset, NJ,  1992 – 1995; Assistant Vice President/Manager, Client Processing Systems, NY, NY, 1990 –  1992; Assistant Vice President/Manager, Office Liaison, Southern California Service Center, Los Angeles, CA, 1989 – 1990; Assistant Vice President/Manager, Customer Accounting, Southern CA Service Center, Los Angeles, CA 1986 – 1989; Assistant Vice President/Manager, Selection and Placement, Operations Liaison, New York, NY, 1983 –1986; Service Manager, Toledo, OH, 1981 – 1983; Accelerated Operations Management Development Program Intern, Newark, NJ, 1981 – 1981

EDUCATION

Bachelor of Arts (BA), Economics, Rutgers University, New Brunswick, NJ

PROFESSIONAL QUALIFICATIONS/LICENSING

Leadership Development Program – Center for Creative Leadership; Six Sigma Green Belt Certified

Securities Industry Institute (SII), Wharton Program Graduate

FINRA Series 7, 24, 28 Registered

Executive Sponsor for the Military Service Assistance Group (MSAG), 2017 – 2019

Executive Board Member and past President of Credit and Margin Section, SIFMA, 2007 – Present

Global Technology and Services Excellence Award, 2004

Executive Board – Customer Account Transfer Division, Securities Industry Association (Asst. Treasurer)

COMMUNITY INVOLVEMENT

United Way Campaign Chairman – doubled year over year contributions/participation, Jacksonville, FL, 2004

Senior Advisor – Women’s Employee Network, Merrill Lynch Denver, CO

Manager – Denver, 2001 Komen Race for the Cure, Denver, CO

Diversity Committee – Executive Committee Member, Denver, CO

Board of Directors – West Windsor Junior Football (past President), West Windsor, NJ