Steve Urcia has more than 40 years of experience in the financial services industry. His prior positions include:

• Compliance officer and managing director for Bear Stearns’ New York branch
• Senior Registered Options Principal for Bear Stearns
• Member of the Compliance Committee at Bear Stearns, where he coordinated compliance technology initiatives to upgrade systems for that firm
• Supervisor of PCS branch trading surveillance of Bear Stearns
• Options margin Supervisor and Analyst for Walston & Co, CBWL Hayden Stone, Loeb Rhodes and LEWCO Securities

Mr. Urcia has held Series 4, 5, 7, 12, 14, 15, 24, 53, 63, and 65 securities industry licenses.