Steve Pisano, Esq., AIF®

Mr. Pisano joined Simon Quick in 2016 and currently serves as Chief Compliance Officer. His primary responsibilities include overseeing the firm’s regulatory obligations. This includes developing and implementing written policies, conducting thorough reviews to assess their efficiency, and addressing any identified deficiencies. Mr. Pisano also remains abreast of evolving compliance regulations to ensure the firm operates within its established guidelines and diligently enforces adherence to these rules and procedures throughout the organization.

Before joining Simon Quick, Mr. Pisano worked at Dynasty Financial Partners where he served as Chief Compliance Officer of their Investment Operations and Platform. At Dynasty, Mr. Pisano was responsible for Platform due diligence and was appointed CCO of the firm’s broker dealer. Prior to Dynasty, Mr. Pisano spent 3 years at HSBC in their registered investment advisor and broker dealer Compliance Department. During his tenure he served as Regulation Coordinator for the Investment Advisors Act of 1940, leading Advisory Compliance efforts in the Private Banking, Wealth Management, and Institutional Business lines. Prior to joining HSBC, Mr. Pisano held various roles in Compliance over 7 years with New York Life Insurance Company and began his career in the Branch Examination team where he conducted mock regulatory focus exams, earning his series 7, 24, and 66 licenses. In 2017 he successfully completed the Center for Fiduciary Studies Program to earn the Accredited Investment Fiduciary designation.

Mr. Pisano holds a B.A. with honors from York College of Pennsylvania and an MBA in Financial Management from Pace University’s Lubin School of Business. He received his J.D., magna cum laude, from Seton Hall University School of Law. Upon graduation, Mr. Pisano was inducted into The Order of The Coif, an honor society for law school graduates who finish in the top ten percent of their class. Mr. Pisano is licensed to practice law in the State of New Jersey.