Summary of Experience
Mr. Bulger has over forty years of experience in executive and managerial positions spanning regulatory; broker-dealers; investment advisers and consulting. His areas of expertise include broker/dealer and registered investment advisory compliance; equity research and trading; fixed income sales and trading; public and investment banking; prime brokerage and correspondents clearing.
Litigation, Arbitration and Regulatory Experience
As an investigator with NASD, Mr. Bulger was involved in more than 70 sales practice and financial and operational examinations. Additionally, as a group head, he conducted hundreds of reviews of customer complaints and regulatory for cause filings.
During his career with both investment advisory and investment banking entities, he led teams in gathering and explaining workings and industry customs to defense attorneys and acted as a fact or expert witness in over 50 hearings.
Product Knowledge & Experience
- Operations, Settlements and Clearance
- Compliance Systems
- Prime Brokerage and Correspondents
- Fixed Income Trading & Sales
- Investment Advisory
- Broker-Dealer Regulatory Reporting
- US Equities' Sales, Trading and Research
- Investment Banking
- High Net Worth Services
- Hedge Fund Management
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Positions (Years)
- NASD Investigator/examiner (3)
- Director, Operations (4)
- SROP/CROP (6)
- Litigation/Regulatory Expert (4)
- Chief Compliance Officer — RIA (7)
- Chief Financial Officer (8)
- Chief Operating Officer (16)
- Chief Compliance Officer BD (30)
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Professional Experience
- Front Street Consulting, Inc. President. Albany, New York 2016
- CL King & Associates, Inc. Executive Managing Director, Chief Operating Officer
Albany and New York, NY February 1992 - 2015
- Paradigm Capital Management, Inc. Chief Compliance Officer
Albany, NY 1994 - 2000; 2005 - 06
- Shearson Lehman Brothers, Inc. Vice President: Senior Litigation and Regulatory Analyst
New York, NY September 1990 - February 1992
- Executive Vice President, Chief Operating Officer: Moore Schley and Cameron /
HanifenImhoff Securities, Inc. / Moran Financial June 1988 - September 1989
- First Albany Corporation, Inc. Chief Compliance Officer & Director of Operations
Albany, NY 1981 - May 1988
- National Associations of Securities Dealers, Inc. Examiner/Investigator
New York, NY July 1977 - January 1981
Education
- Fordham University — Master of Business Administration — Portfolio Finance - 1982
- University at Albany — Bachelors of Science — Economics/Accounting - 1977
Securities Licenses
- Series 3, 4, 7, 8 (9&10), 15, 24, 27, 53, 63, 65, 87 and 99 - underlined licenses are active
Associated with Drive Wealth LLC, Chatham New Jersey 9/2017
Board Assignments and Governance
- Board of Directors: CL King & Associates, Inc. 1992 - 2015
- Board of Directors: Paradigm Capital Management, Inc. 1994 - 2000
- Board of Directors: University at Albany Foundation 2006 - present
- Board of Directors: Lamplighters Foundation 2014 - present
- Board of Advisors: Institute of Financial Market Regulation - Rockefeller College/Albany Law
- School/State University of New York, Albany 2007 - present
- Advisor: Living Resources, Inc. Albany New York. A non-profit engaged in servicing the physically disabled community 2017 - present
- SIFMA Institutional Brokerage Committee — 1999 - 2013, Chairman (2010)
- Securities Expert Roundtable Org — Founding member 1994 - present; President-Elect/Board Member
- Expert Witness Assignments 1988 - present
- Speaker and Panelist: SIA/SIFMA/Japan Securities Dealers Association/NSCP/National Organization of Investment Professionals
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