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Mark DeAngelis

Mark DeAngelis

Senior Consultant

Mr. DeAngelis has over 20 years of experience in the financial services industry serving in various roles including chief compliance officer for SEC-registered investment advisers, Fund/UIT Complexes, Commodity Pool Operators and Broker-Dealers. Mark also served as FINRA regulator as a member of both the Advertising Regulation and Market Regulations divisions. Mr. De Angelis previously held the FINRA Series 6, 7, 9, 10, 24, 66 and 87 registrations.

Mark is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group, Senior Consultant, Bates Compliance, 2022-present

Cipperman Compliance Services, LLC, Compliance Director & (Client) Chief Compliance Officer, 2018-2022

Capital One Investing, Senior Compliance Manager, 2017-2018

Morgan Stanley Wealth Management, Vice President, Legal & Compliance, 2008-2017

T. Rowe Price, Manager, Investment Compliance, 2006-2008

FINRA, Investigator, Senior Analyst, 1999-2006

EDUCATION

Bachelor of Science (BS), Towson University, Towson, MD

PROFESSIONAL QUALIFICATIONS

FINRA series 6, 7, 9, 10, 24, 66 and 87 (previously held)

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.