Louis D’Agostino is an Associate Director in the Financial Services Department of Frank Crystal & Company. The Financial Services Department is responsible for negotiating and placing Management and Professional Liability Insurance on behalf of Investment Advisers, Mutual Funds, Hedge Funds, Private Equity Funds, Commercial & Investment Banks and Securities Broker/Dealers.
Throughout his career, Mr. D’Agostino has been involved in the development and placement of innovative Management and Professional Liability Insurance responding to the risk management needs of the financial services community. Mr. D’Agostino’s expertise however spans over a wide array of businesses including but not limited to Commerical Risks, Transportation, Real Estate, Technology, Retail and the like.
Prior to Frank Crystal & Co., Mr. D’Agostino was a running back with the NY Jets (96’ & 97’), The Florida Bobcats of the Arena Football League (98’) and The New York/New Jersey Hitman of the XFL (01’).
Mr. D’Agostino obtained a Bachelor of Science degree in Finance from the University of Rhode Island. Additionally, Mr. D’Agostino has obtained his Series 7 & 63 licenses and is currently a CFA Level I candidate.
As Quadriserv Securities’ Chief Compliance Officer, Michael developed and implemented the firm’s compliance program and advises the firm on all compliance related matters. Michael is also Secretary to the Credit Committee. In addition, he supervises the securities lending trading desk.
Michael has been in the securities industry for over twelve years. He began his Wall Street career at Brown Brothers, Harriman & Company, where he worked in the Corporate Actions department. He then obtained a position with the Commodities group within the U.S. Banking Department.
As a Staff Supervisor within the Special Investigations Division of NASD, he directed complex sales practice investigations. As a Field Supervisor within the Cycle Examinations Division, he inspected the compliance and supervisory systems of various Broker/Dealers.
Michael also worked in the Management Controls Department of Goldman Sachs & Company, where he reviewed and audited business units and made recommendations to improve procedures and controls.
Prior to joining Quadriserv, Michael was the compliance officer responsible for securities lending, prime brokerage, correspondent clearing and soft dollars at Jefferies & Company, Inc. Michael assisted in spearheading the firm’s Regulation SHO initiatives as well as forming Jefferies’ Agency Lending Disclosure Initiative Task Force.
Michael graduated from Bernard M. Baruch College, City University of New York, and received his MBA from St. John’s University. Michael is Series 7, 24, 55 and 63 registered.
Joseph Buffalano is a Bond Claims Manager for St. Paul Travelers (“Travelers”). Travelers is one of the largest providers of property and casualty insurance products in the United States.
Mr. Buffalano’s responsibilities include the handling and negotiating of complex third party Employment Professional Liability insurance, Fidelity and Directors and Officers liability claims.
Prior to joining Travelers, he managed the Condo/HOA book of business at Kemper Insurance. Formerly employed at AIG, he worked in the Program Professional Liability Department handling Errors and Omissions (E&O) matters.
His 8-years of claims experitise, has enabled him to advance and excel in several claims departments.
Rocco John Petito - Director of Cultural Education
Mr. Petito is an Operations Manager for Oppenheimer & Co. at their flagship branch, 200 Park Avenue. As part of his daily operational and management functions, Mr. Petito is responsible for an order desk, new account set-up, outgoing disbursements and incoming deposits. In addition to his daily operational functions, Mr. Petito also serves as compliance officer and part of a management team which guides retail and institutional brokers.
Mr. Petito came to CIBC Oppenheimer in January 2001. In June of 2004, he joined the management team and in June of 05’ was promoted to Branch Operations Manager.
He started his career on Wall Street back in 1994 at Dean Witter. Mr. Petito is Series 7 (96’), Series 9 & 10 (2004) licensed.
Chief Operating Officer- Balance Asset Management- responsible for all non-investment activities; middle and back office functions, portfolio finance, information technology, collateral management and oversight of all operational risks of the Funds on behalf of Balance Asset Management, LLC
Chief Executive Officer – HedgeSpeed Technology- Software company providing middle office solutions to hedge funds such as stock locate, stock borrow, margin, cash management and swap tracking.
Mr. DiRocco was formerly CFO of Citadel Investment Group (1998-2004), where he built the business infrastructure necessary to grow from $800 million to over $11.5 billion across 18 global strategies. Mr. DiRocco served on Citadel’s Management Committee and at various times was responsible for managing portfolio finance, liquidity, credit, back office, bank relations, new business analysis and implementation, rating agency oversight, legal documentation, operations and accounting. Prior to Citadel, Mr. DiRocco was Managing Director of Paloma Partners (1992-1998) responsible for portfolio finance, operations, cash management, counterparty risk and IT. Mr. DiRocco formed London Global Securities, the first independent securities finance specialist and has been recognized as one of 60 People who changed Global Investing. He has also received the industry award for the greatest contribution to securities finance over the past 15 years. Mr. DiRocco was a Director of Shearson Lehman in London (1987-1990) where he built and ran non-dollar securities lending, repo and prime brokerage. He was Chairman of the MoneyBrokers Overseas Committee and served on the securities lending and repo committees of The Bank of England, The Stock Exchange, The Inland Revenue, and The Securities Association. BS in Business Administration from SUNY Albany (1980) Mr. DiRocco is a member of the Robin Hood Foundation Leadership Committee and is active in various other charitable organizations.
We are currently seeking qualified individuals for the following positions:
Administrative Officer
Technology Director
Public Relations Director
Charity Director
Advisory Board
If you would like to dedicate some of your free time to fullfill one of the above positions and participate in our growing community, please click the link below.
In your email please provide your credentials (resume, qualifications, referals).
