Vincent Micciche

Financial Services Industry Expert, CEO, Thought Leader


Vincent works with Attorneys, Financial Advisors and Institutions and Regulators


Legal Community


Securities and
Insurance Regulators


Financial Services Firms
and Advisors

Case Analysis and Litigation Support · Expert Testimony in Federal and State Court and Arbitration · Analysis and Support in Enforcement Actions · Advanced Product Training for Investigators – Annuities, Life Insurance · Alternatives Expert Testimony · Independent Compliance and Supervisory system redesign as required in regulatory actions · DOL Compliance · Design and Amendment of Policies and Procedures · Independent Audit and Testing of Compliance and Supervisory Systems · Principal Contracting - Temporary or Regulator Ordered for General Securities, Options, FINOP · Training – Product, Sales Practices, Advisory Services


Nationally Renowned

Locally Focused

Mr. Micciche is a nationally renowned insurance and securities expert. Mr. Micciche is the CEO and Chief Compliance Officer of LifeMark Securities Corp., an independently owned national broker/dealer and registered investment advisor which he co-founded in 1983.

He has taught, consulted, and provided expert testimony on the suitability of insurance products and securities, sales practices, duties of brokers and firms, and adequacy of supervisory systems and due diligence for over 20 years. He frequently lectures on the subject of fiduciary duties and uniform standards and regulation of the financial services industry.

He holds a Certificate in Fiduciary Governance from the Walker Center for Global Entrepreneurship and the professional designation of GFS™ (Global Financial Steward).

In 2003 he was awarded the distinguished designation of Certified Compliance and Regulatory Professional CRCP from the FINRA Institute of Professional Development at the Wharton School. Since its inception in 2000, it has awarded less than 1,000 designations worldwide.

He provides consulting services to financial institutions, state and federal regulators, attorneys and individuals. He has been quoted in Investment News, Life Insurance Selling, National Underwriter, Dow Jones Newswire, and various other industry publications.

Vince is presently a member of the Life Insurance Task Force, a group of high impact individuals within the insurance industry whose purpose is to compile and publish a set of best practices for the industry and propose they be adopted as a uniform standard as called for in the Dodd-Frank Act.