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WHO WE ARE

Our Compliance Support Professionals have unparalleled industry experience, having worked for asset management firms, law firms, regulatory agencies and service providers to the asset management industry. Their expertise, integrity and professional qualifications – along with CCS’ independence and best-practices perspective – create significant value for our clients.

Principal

Todd Cipperman, Esq.
610.687.5320 Office
484.431.3873 Cell
tcipperman@cipperman.com

Cipperman is the founding principal of Cipperman Compliance Services (CCS). CCS helps advisers, broker-dealers, and funds build a culture of compliance through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multi-disciplinary team and takes full accountability for its advice and services.

Mr. Cipperman has over 2 decades of experience in the investment management and financial services industries. He has represented a wide range of investment management clients with a focus on distribution issues facing investment managers and broker-dealers. He previously served as general counsel of SEI Investments, a public mutual fund and financial technology firm, including its $65 Billion proprietary mutual fund family. He has also served as general counsel of one of the largest international equity managers. He spent several years in private practice on Wall Street representing both buy and sell side clients in investment management and capital markets transactions.

He is a graduate of the University of Pennsylvania Law School and Cornell University.

Mr. Cipperman is also the author of the “Our Take” Regulatory Alerts, which provide daily updates on important industry developments via e-mail. An archive can be found here.

President

Robert Prucnal
610.329.7598 Cell
rprucnal@cipperman.com

As President of Cipperman Compliance Services and a member of the firm’s executive team, Rob is responsible for engaging with primary constituencies including clients, regulators, and other industry entities, providing strategic leadership to establish long-range goals, strategies, plans and policies. He also continues in his role of leading the Client Service, Marketing and Communications functions.

Prior to joining CCS, Rob was Principal of PAR Communications, a strategic consulting organization helping financial services clients improve their bottom line through transformational change via end–to–end marketing and customer communication strategies, as well as identifying the technologies required to enable their efforts. He also served as Chief Marketing Officer for Corporate Synergies, a healthcare benefits broker, and as Senior Vice President of marketing for SEI Investments, a global provider of asset management and investment technology.

Rob earned a B.A in Public Relations from Syracuse University. He is an active member of the Public Relations Society of America, and has served as a board member for several Philadelphia area charities.

Chief Operating Officer

Jonathan Wowak
484.588.5521 Office
jwowak@cipperman.com

Jon is Chief Operating Officer of CCS and a member of the firm’s executive team. He oversees the internal operations of the firm and is primarily responsible to drive the continued effort to deliver an effective, timely and up to date compliance platform to the firm’s clients.

Jon Wowak is an experienced professional serving nearly 18 years in the financial services and asset management industry. Most recently Jon served as Chief Operating & Compliance Officer of Fortis Advisors, LLC, an investment adviser connected to a multi-family office platform. Prior to that Jon was a Senior Manager in the mutual fund practice at Tait Weller. Jon also spent nearly 12 years at Ernst & Young in both the New York and Philadelphia Offices.

Jon earned a B.S. in Business Administration – Accounting from Lehigh University. He also is a Certified Public Accountant (PA) and is a member of the PICPA and AICPA.

Chief Development Officer

Steven M. Laska
954-383-2535 Office
Steven Laska served as the President and Chief Investment Officer of a boutique wealth management firm. He led the firm’s acquisition strategy which resulted in six acquisitions in over a 24 month period. Steve has held several leadership positions throughout his twenty-five year career. Steve served as the Director of Global Advisor Distribution for Gerstein Fisher. He held roles as a Managing Director for both Steben & Company as well as SEI Investments. In addition, Steve was the National Sales Manager at PIMCO. Steve earned a Bachelor’s of Science in Finance from the Florida Institute of Technology in 1989, where he was a distinguished military graduate. He served in the United States Army as an Armor Officer from 1989-1993 during the first Gulf War. Steve and his wife Cherry have three children– Travis, Chad, and Brooke. In his spare time, Steve enjoys golf, playing acoustic guitar and spending time with his family.

Compliance Professionals

Jocelyn Dalkin
Assistant Vice President
484.205.9343 Office

Jocelyn is a seasoned professional with over 20 years’ experience in accounting, auditing and compliance. Jocelyn’s employment history includes working for TC Partners, LLC, where she served as the compliance officer and controller, and for Bluefin Investment Management as controller and assistant to the CCO at Bluefin Investment Management, LLC. Prior experience also includes being an accounting manager at AvalonBay Communities, an internal audit senior at Gannett Company, Inc. and an audit associate at BDO Seidman.

Jocelyn earned her degree from the University of Virginia with a B.S. in Commerce and a concentration in Accounting. She is also a certified public accountant.

Ryan DelGiudice
Vice President
Chief Compliance Officer

610.687.5370 Office
Ryan provides support to registered advisers and fund compliance programs. Before joining CCS, Ryan worked in fund regulatory administration at BNY Mellon where he managed Board meetings, regulatory filings and mutual fund compliance. He is a graduate of Saint Joseph’s University with a B.S. in Finance.
Umar Ehtisham
Assistant Compliance Director
Chief Compliance Officer

484.200.5942 Office
Umar has an extensive background in the financial services industry with nearly 11 years of experience in compliance, audit and operations. Prior to joining CCS, he worked at E*TRADE Financial Corporation and Bank of America Merrill Lynch. He has significant compliance testing experience including on-site examinations and developing and implementing risk assessments. He has institutional, retail, and offshore experience. He is a graduate of the University of Rochester with a B.A. in Economics.
Jason Ewasko, Esq.
Compliance Director
Chief Compliance Officer

610.687.5344 Office
Jason is an experienced lawyer and compliance professional with nearly 20 years experience working with financial products. Most recently, he served as Chief Compliance Officer of TD Ameritrade, Inc.’s registered investment adviser while also providing compliance guidance for the company’s Institutional business. Previously, he provided compliance and regulatory services at Hornor, Townsend & Kent, Inc., and its parent, The Penn Mutual Life Insurance Co. At one point in his career, he worked as a financial adviser at Morgan Stanley. Jason started his career as a securities litigator in private practice, specializing in regulatory arbitrations and investigations.During his career, Jason has engaged in a wide range of transactions and representations, where he served as a trusted business adviser. He has conducted due diligence of advisers, advised senior management on compliance issues, conducted compliance reviews, and responded to customer complaints. He has managed FINRA and SEC examinations and has frequently served as the company interface to regulators. Jason has also represented a variety of clients in both regulatory and civil litigation. During his time as a financial adviser, he advised clients on portfolio structure and investments.Jason is a graduate of The Villanova University School of Law and a cum laude graduate of Colgate University. He holds FINRA Series 7, 24 and 63 licenses.
Alyssa Garie
Vice President
Chief Compliance Officer

484.205.9347 Office
Alyssa Garie has an extensive background with institutional money managers. She joined CCS from Mondrian Investment Partners, a $70 Billion AUM asset manager with global distribution. During her career, Alyssa has managed client relationships, interfaced with consultants, completed 15(c) questionnaires, RFPs, and other due diligence requests, and supported lead generation and sales. She also worked with the legal and compliance teams with respect to client issues.She holds a B.A. in Business Administration and Public Policy from West Chester University of Pennsylvania.
LuAnne Garvey
Assistant Compliance Director
Chief Compliance Officer

484.205.9344 Office
LuAnne Garvey is a senior compliance professional with significant experience in investment product distribution. She has spent the better part of her career managing compliance for broker-dealers that distribute registered products. LuAnne has supervised registered representatives, conducted branch inspections, reviewed marketing and advertising, conducted training, and interfaced with regulators. She has also managed a successful sales team focused on ETF distribution.Before coming to CCS, LuAnne spent over 10 years at PFPC (now BNY Mellon).
Michelle Gallagher
Assistant Compliance Director
484.588.5520 Office
Michelle Gallagher brings to Cipperman Compliance Services (CCS) significant experience in the financial services industry. Prior to joining CCS, she worked for 16 years at SEI Investments, a global provider of asset management and investment technology. Michelle started her career in operations before transitioning to the compliance department. After serving 4 years as the corporate privacy officer, she completed her law degree and became general counsel and compliance manager for the federal savings bank subsidiary of SEI. Michelle has managed on-site examinations conducted by various federal regulatory agencies, including the OCC and the DOL, crafted policy manuals, conducted risk assessments, and advised senior management and board members on compliance issues. Michelle is a graduate of the Temple University James E Beasley School of Law and a magna cum laude graduate from Immaculata University.
Stacey Gillespie
Compliance Director
Chief Compliance Officer

484.588.5509 Office
Stacey Gillespie is an experienced professional serving nearly 14 years in dedicated Compliance roles. Most recently she served as the Chief Compliance Officer of the Private Client Group at Boenning & Scattergood, in addition to serving as the CCO of 1914 Advisors, Boenning’s retail asset management division. Her CCO responsibilities included oversight of the firm’s entire compliance program including risk assessment and annual testing, compliance training, compliance monitoring, firm filings, branch office inspections, management of regulatory exams and implementation of policies and procedures. She has frequently served as the liaison to industry regulators during examinations and has spoken at industry conferences and events.Prior to Boenning, Stacey served as an Associate Vice President, Compliance at Lockwood Advisors, a registered investment advisor. Her other compliance roles included Compliance officers at both Pilgrim Baxter and JP Morgan Fleming Asset Management. She holds the series 7, 63, 65, 24, 53 and 79 licenses. Stacey holds a bachelor’s degree in Political Science from Adelphi University and an MBA from Penn State.
Jay Haas
Compliance Director
Chief Compliance Officer

484.200.5945 Office
Jay is a compliance professional with over 20 years of experience in the financial services industry. Most recently, Jay was a manager at The Vanguard Group supporting Vanguard Brokerage Services and the high net worth retail client segment. Other roles Jay held include: Director of Compliance at Ferris Baker Watts, Assistant Director of Compliance at Janney Montgomery Scott and Senior Examiner at FINRA.During his career, Jay has conducted regulatory examinations of registered broker/dealers and has managed FINRA and SEC examinations for the firms that employed him. Jay has been responsible for many roles as a compliance professional, including: conducting branch examinations, customer surveillance, annual reporting, policy and procedure creation and maintenance, new product reviews and regulatory reporting. Jay is a graduate of Bentley University with a B.S. in Economics/Finance. He is Series 7, 9, 10, 14, 24, 55, 63 licensed and has obtained FINRA’s CRCP designation.
Emily Silva
Compliance Director
Chief Compliance Officer

610.687.5340 Office
Emily K. Silva is a lawyer and experienced compliance professional with responsibility for several client relationships. Before joining CCS, Emily spent nearly 15 years at The Vanguard Group where she worked in a variety of compliance management positions. She has an especially deep background with mutual fund and adviser marketing. Emily has also worked as a legal journalist. Ms. Silva graduated from the University of Rochester with a BA in history, earned her master’s degree in Media Administration from Syracuse University and her Juris Doctor (cum laude) from the Syracuse University College of Law. She holds FINRA Series 4, 7, 24, and 63 licenses. She is author of Compliance Considerations for Mutual Fund Advertising: Collaboration is Key, which was published in Practical Compliance & Risk Management for the Securities Industry.
Sarah Selverian
Operations Director
484.205.9345 Office
Sarah Selverian is responsible for the company’s overall operations, including finance and human resources. Sarah comes to CCS with extensive experience in all areas of operations, financial management, analysis, auditing, business development, client relations and human resources. Prior to Joining CCS, Sarah worked as Director of Finance and Human Resources for a consulting firm and, before that, held several senior finance positions. Sarah earned a Bachelor of Science degree in Accounting from Drexel University and a Master of Business Administration in Management from West Chester University. In 2004, she graduated from the Chester County Leadership Connection which focused primarily on Board of Director Leadership and responsibility.
Rob Spengler
Assistant Vice President
484.200.5941 Office
Rob has nearly a decade of experience managing operations and relationships for both registered and alternative funds. Prior to joining CCS, he worked at BNY Mellon in a wide range of roles including fund accountant, regulatory administration specialist, and client service manager. Rob has experience with securities valuation, striking NAVs, preparing Board materials and regulatory filings, overseeing compliance, managing multiple vendors, and advancing client initiatives. Rob earned both an MBA and B.S. in Business Management from Eastern University.
Douglas Tyre
Vice President
Chief Compliance Officer

484.588.2113 Office
Douglas Tyre has over a decade of experience in the asset management industry. Prior to joining CCS, he worked at Echo Point Investment Management, an affiliate of Old Mutual Asset Management, where he was primarily responsible for coordinating investment operations functions, client service and reporting, proxy voting and marketing support. Prior to his experience at Echo Point, he worked at The Vanguard Group and Morgan Stanley Investment Management, serving in various operations and client service positions.Douglas earned an MBA from Villanova University and a B.S. from Cornell University.