Steven_Trigili

Steven D. Trigili CAMS

Chief Compliance Officer, Garden State Securities

Steven Trigili, MBA, CAMS is the Chief Compliance Officer and AMLCO of Garden State Securities, Inc., and Garden State Investment Advisory Services, LLC an independent broker/dealer and SEC-registered investment advisor. Steve has 27 years of experience in financial services – in executive management, compliance, and as a financial adviser. Steve is responsible for the oversight of all regulatory matters, risk assessments, compliance testing, and AML policies and procedures within the firm. He is a member of the firm’s Executive Management Team, heads the firm’s Risk Committee, and was recently elected to serve a three-year term as a small firm representative to the District 9 FINRA District Committee. A recurring speaker and panelist at national industry conferences and webinars for over 15 years, Steve also provides independent consulting and expert witness services for securities arbitrations and litigation matters.

Steve holds his Series 7, 24, 55, 63, 65 and 79, is an adjunct graduate professor at Southern New Hampshire University, and serves on the Editorial Board of the Journal of Financial Compliance. He is a member of the National Society of Compliance Professionals (NSCP), the Society of Corporate Compliance and Ethics (SCCE), and the Association of Certified Anti-Money Laundering Specialists (ACAMS).


Appearances