Edmund (Ed) Laskowski is a Bates Group Expert and Consultant based in the greater NYC area. Mr. Laskowski utilizes his 30-plus years of experience in the Financial Services and Compliance industries to assist clients in the areas of Brokerage Services, Mutual Funds, and Annuities. He has also represented firms as an industry fact witness in FINRA arbitrations and federal court trials.
Prior to joining Bates, Mr. Laskowski was Managing Director of Retail Supervision & Controls at TD Ameritrade, Inc. He and his team were responsible for the overall supervision of the branch offices and phone centers. He was also responsible for coordinating with Legal & Compliance to institute various FINRA programs, including Senior Investing/Diminished Capacity; Anti-Money Laundering; and Fraud Prevention. Mr. Laskowski was also a Board Member of TD Ameritrade’s Life Insurance Agency, responsible for all variable annuity sales activity and supervision of the products. During TD Ameritrade’s recent acquisition of Scottrade, Mr. Laskowski developed and delivered supervision and monitoring policies and procedures as well as business advice resulting in the smooth transition of business and client accounts.
Mr. Laskowski’s career in Financial Services included work at Fidelity Brokerage Services, where he served as VP of Distribution Compliance and, later, Shared Regulatory Services. He was responsible for managing and responding to all regulatory examinations and inquiries, monitoring the regulatory environment with emphasis on new rules and rule proposals, and assessing the possible impact on the business. Mr. Laskowski and his team were also responsible for Distribution Compliance, which consisted of advising on sales and suitability supervision and branch manager responsibilities for the entire branch organization and the regional phones sites throughout the Fidelity organization. In this role, he developed the Regulatory and Reporting System highlighting potential violations and weak controls. In addition to his Compliance roles, Mr. Laskowski was a Branch Manager at Fidelity Investments for 12 years. During this period, he built and ran Fidelity’s flagship office at Rockefeller Center as well as the state-of-the-art “Branch of the Future” office at the Wall Street Investor Center.
Mr. Laskowski has instructional experience as an Adjunct Professor of Finance at Long Island University. He received a bachelor’s degree from Adelphi University, and his Master of Business Administration in Corporate Finance from Pace University. Mr. Laskowski holds a certified regulatory and compliance professional designation from the Wharton School of Business and is a graduate of the accelerated leadership program at Cornell University.
TD Ameritrade, Inc., Jersey City, NY/Omaha, NE, Managing Director, Retail Supervision & Controls, 2014-2018
Fidelity Brokerage Services, Smithfield, RI/Roslyn, NY, Vice President, Shared Regulatory Services, 1987-2014
PWIS Ethics, Internal Controls Program Management Office, Vice President, Distribution Compliance, 2003-2014, Director, Broker/Dealer Risk, 2002-2003, Vice President, Branch Manager, 1990-2002
Long Island University, Brentwood, NY, Adjunct Professor of Finance, 1992-1998
Wall Street Investor Center, New York, NY, Financial Representative, 1987-1990
Dean Witter Reynolds, Inc., New York, NY, Broker, 1984-1987
Robert W. Baird & Co., Inc., New York, NY, Broker, 1985
NML Equity Services, Inc., New York, NY, Broker, 1985
Cornell University, Ithaca, NY, Accelerated Leadership Program, 2017
Wharton School of the University of Pennsylvania, Philadelphia, PA, FINRA Certified Regulatory and Compliance Professional Designation, 2009
Pace University, New York, MBA Corporate Finance, 1990
Adelphi University, New York, BA Economics, 1983
Registered Representative for General Securities
NASD/NYSE Series 7, Series 8, Series, 14, Series 63, Series 65
New York Life & Health Insurance License
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