2002 Timberloch Drive, Suite 200
The Woodlands, Texas 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
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Michael R. Schaps*
Director of Regulatory Compliance
Michael R. Schaps brings many years of real world experience working in the financial services industry. Michael has functioned as a FINOP for both NYSE and FINRA member firms and in addition has held positions as a branch office manager and chief compliance officer. Michael has spent the last eleven years as a securities regulatory consultant focusing on compliance matters for broker-dealers such as:
- Anti-Money Laundering
- FINRA Examination Preparation
- New Member Applications
- Continuing Member Applications
- Business Continuity Plans
- Privacy Policy Testing
- Preparation of Written Supervisory Procedures
- Review of Written Supervisory Procedures
Employment
Michael R. Schaps has previously served in various accounting positions for over fifteen years in the Financial Services Industry. Michael also proudly served as a commissioned officer in the National Guard and Army Reserve.
Education
BBA Accounting - Bernard Baruch College of the City Of New York
Current Regulatory Registrations
- FINRA Series 27 Financial and Operations Principal
- Series 7 General Securities Representative
- Series 9/10 General Sales Supervisor
Speaking Presentations
Michael R. Schaps has served as a speaker for various financial industry associations and financial institutions, including:
- SILA (Securities Industry Licensing Association)
- Mesirow Financial
*Michael R. Schaps is not licensed to practice law
