Who Is ComplianSense?
My name is Walter R Costenbader and I started ComplianSense Consulting, LLC in 2005. I have over 30 years of B/D and RIA compliance, financial and operations experience. My experience can be summarized as follows:
Started a B/D and RIA for CIGNA (NYSE: CI) – CIGNA Financial Services. Served as the Chief Compliance Officer, Chief Operating Officer, and Financial/Operations Principal. Developed and managed a call center and on-line trading operation.
Started a B/D and RIA for Webster Financial Services, a wholly-owned subsidiary of Webster Financial Services (NYSE: WBS). Served as the Chief Compliance Officer, Financial/Operations Principal, and AML Officer Responsible for compliance activities of over 500 registered representatives and 125 branch offices.
Director of Operations for Buell Securites Corp. Transformed the firm from a self-clearing retail broker/dealer to a fully-disclosed introducing broker.
Provide consulting services for large and small B/D and RIA Firms: AXA-Equitable, LIMRA, Gradient Securities. For a complete list, please see “References”.
Licenses: Series 7, 27, 63, 65, 51
Designations: Certified Financial Planner
Currently an active FINRA arbitrator.