Mr. Sadzewicz is a skilled securities compliance and business professional with thirty years experience in identifying compliance, financial, and regulatory risks at firms including Oppenheimer & Co., Ernst & Young Investment Advisers, Giuliani Capital Advisors, Koch Industries and the Walt Disney Company.
During these 30 years, Mr. Sadzewicz served over 12 years as a CCO, CFO, and FINOP. He managed several FINRA and SEC audits for diverse financial service organizations, created three broker-dealers and thirty investment advisory firms, including supervisory systems for each and built three asset management platforms.
Mr. Sadzewicz has also served as a NASD Arbitrator. He is a Registered Options and Security Futures Principal (ROSFP) and holds NASD Securities and Principal Licenses including Series 4, 7, 24, 27, 53, 63, and 65.
Mr. Sadzewicz received his Bachelor of Science Degree from DePaul University.