Steven
Trigili, CAMS
Steven D. Trigili, MBA, CAMS is the Chief Compliance and AML Officer of Garden State Securities, Inc., and Garden State Investment Advisory Services, LLC, an independent broker-dealer and SEC registered investment advisor headquartered in Red Bank, New Jersey. Presently serving his second term to the FINRA North Region Committee, Steve has 31 years of experience in financial services and is responsible for the oversight of all regulatory exams, risk assessments, compliance testing, and anti-money laundering policies and procedures within the firm. He also heads the firm’s cybersecurity and safeguarding program. Before joining Garden State in 2010, Steve served as the CCO for a boutique firm on Wall Street for nine years, and prior to that served as a branch compliance manager for the Guardian Life Insurance Company of America.
A recurring speaker and panelist at national industry conferences and webinars for over 20 years, Steve also provides independent consulting and expert witness services for securities arbitrations and litigation matters.
Steve holds his Series 7, 24, 55, 63, 65 and 79, is an adjunct professor of business and management at Southern New Hampshire University Graduate School of Business, Ocean County College in Toms River, New Jersey and Bloomfield College of New Jersey. He’s an editor of the Journal of Financial Compliance, a member of the National Society of Compliance Professionals, the Association of Certified Fraud Examiners, and the Society of Corporate Compliance and Ethics.