Chief Compliance Officer
Cosmo has over 10 years of financial services experience, including: Compliance, Investment Banking, Brokerage Operations, Options Trading, and Retirement Plan/ERISA. Prior to joining GRP, Cosmo was Chief Compliance Officer of Financial Telesis, a Broker Dealer and RIA with roughly 500 registered representatives and roughly $90 million in annual revenue. Cosmo was responsible for maintaining compliance with the rules and regulations of FINRA, the State, the Department of Labor, and the Securities and Exchange Commission for Financial Telesis Inc. and its employees. Before that, he was a Senior Examiner with FINRA, responsible for leading routine examinations of member firms’ sales, trading, underwriting, financial, supervisory, and organizational practices to determine compliance with SEC and FIRNA rules and regulations. Cosmo began his carrier as an Investment Advisor with Wells Fargo and has also worked as a Compliance Manager at Charles Schwab.