Glenn Marone

Glenn Marone is a Partner and Managing Director at Quadrant Regulatory Group, where he has served since 2012. He leads the company’s membership consulting services, leveraging over 28 years of experience across regulation, compliance, operations, and technology in the securities industry.

Glenn specializes in guiding firms through the FINRA membership process, including New Membership Applications (NMA), Continuing Membership Applications (CMA), Materiality Consultations (MatCon), and Membership Agreement Changes (MAC). Notably, his expertise was instrumental in assisting a firm in a multi-year effort to become one of only two special purpose broker-dealers authorized to custody digital asset securities.

Prior to joining Quadrant Regulatory Group, Glenn was a Principal Examiner in FINRA’s Member Regulation Department, where he conducted complex broker-dealer examinations and developed deep expertise in FINRA rules and federal securities laws. He also served in FINRA’s Membership Application Program Department, where he focused on Rule 1014 compliance.

Earlier in his career, Glenn was an Associate Director and Compliance Officer for Equity and Fixed Income Research at Bear Stearns and held various operational and systems roles at Prudential Securities.

He holds a B.S. in Business Management with a minor in Marketing from the City University of New York, is a Certified Anti-Money Laundering Specialist (CAMS), and an active member of ACAMS. He also completed extensive regulatory training, including FINRA’s Examiner University.