Glenn Marone is a Partner and Managing Director at Quadrant. He joined Quadrant in 2012 and is responsible for delivering regulatory compliance and membership consulting services. Mr. Marone’s regulatory and industry experience enables him to provide consulting services in various areas including written procedures, supervisory controls, and market access as well as ongoing support. Mr. Marone assists companies in becoming FINRA members by preparing New Membership Applications (NMA), assisting with business plans, developing written procedures and processes, and advising on membership application requirements. Mr. Marone also advises existing FINRA members on Continuing Membership Applications (CMA) for material changes to their business, Materiality Consultations (MatCon), and Membership Agreement Changes (MAC).
Mr. Marone’s experience in the securities industry covers over two decades in areas of regulation, compliance, operations, and information technology. Prior to joining Quadrant, he was a Principal Examiner within the Member Regulation Department of FINRA. As a compliance examiner, Mr. Marone developed a broad knowledge of the various FINRA rules and federal securities laws. He has conducted examinations of broker-dealers ranging in size, business activities, and complexity. Mr. Marone also worked in the Membership Application Program Department acquiring expertise in FINRA Rule 1014 requirements.
Prior to FINRA, Mr. Marone was an Associate Director at Bear, Stearns, & Co., where he was a Compliance Officer for Equity and Fixed Income Research. His career began at Prudential Securities, Inc., where Mr. Marone held various positions in Operations, Mutual Funds, and Business Systems Development.
Mr. Marone received his Bachelor of Science in Business Management with a minor in Marketing from the City University of New York. He has completed substantial training while at FINRA including Examiner University. Mr. Marone is also a Certified Anti-Money Laundering Specialist and ACAMS member.