Vincent Micciche CRCP GFS

Vincent Micciche CRCP, GFS, L5

Professional Background in Financial Services Industry

Mr. Micciche began his career in the financial services industry in 1978 as a career agent at State Mutual Life where he was trained in financial planning, insurance needs analysis, and the sale of insurance and securities products.

In 1983 Mr. Micciche founded Procorp Securities Inc., a full-service broker/dealer and member of FINRA and SIPC. A year later he formed the affiliate, Procorp Advisory, a Registered Investment Advisor. After a merger in 1994, Mr. Micciche took the position of CEO and Chief Compliance Officer with the new firm LifeMark Securities, which became a national broker/dealer with 22 Offices of Supervisory Jurisdiction across the country serving more than 500 registered representatives. He has, since its inception, been the FINRA Executive Representative of the firm and Chief Compliance Officer, and its Financial and Operations Principal. Mr. Micciche again in 2014 accepted the position of CEO at LifeMark.

Consulting, Dispute Settlement, Litigation Support

Mr. Micciche has provided consultative services regarding securities and insurance matters to claimants, respondents, law firms, financial institutions and regulators since 1988. He has been retained in over 500 matters and has testified extensively as an expert in State and Federal courts and FINRA arbitrations.  Areas of expertise include:

Department of Labor / ERISA Rules            Senior Issues
Duties of Brokers, Advisors, and Institutions        Due Diligence
Life Insurance and Annuities                Suitability            
Fiduciary Standards                    Supervision
FINOP – Net Capital Rules                     Broker/Dealer and RIA Compliance    

Education and Certification

1972 - 77     Attended SUNY Alfred and Rochester Institute of Technology 

2002    CRCP - Wharton School at University of Pennsylvania and NASD
        Certified Regulatory and Compliance Professional

2012        GFS – Global Financial Steward

2012    Certificate in Fiduciary Governance – Walker Center for Global Entrepreneurship – Thunderbird Institute

2019    Member of the Behavioral Governance Society

Professional Licenses

Series 7    General Securities

Series 24    General Securities Principal

Series 53    Municipal Securities Principal

Series 4    Registered Options Principal

Series 27    Financial and Operations Principal

New York State Life, Health, and Disability and Variable Contracts License

Related Professional Activities

FINRA Arbitrator since 1995

Mediator certified under New York State Judicial Code

Approved Instructor - NY State Insurance Continuing Education

Approved Instructor – CFP, FPA, SFSP, NYS Life and Health

Approved Instructor – Global Financial Steward (GFS)

Member of National Society of Compliance Professionals (NSCP)

Member of the Association of Certified Fraud Examiners (ACFE)

Charter Member of the Society of Behavioral Governance (L5)

Speaking Engagements (last 11 years)

2008    Guest Lecturer – Cornell Law School – Issues Surrounding Variable Annuities

2009    National Association of Insurance and Financial Advisors (NAIFA) – Regulatory and     Litigation Risks – Practice Management

2011    Guest Lecturer – Syracuse Law School – Arbitration of Variable Insurance Products

2011    Public Investors Arbitration Bar Association – Variable Product Living Benefit Riders

2012    Guest Lecturer – Seaton Hall Law School – Duties of Financial Institutions and Advisors

2012    Presenter at Broker/Dealer Summit – Current Regulatory Environment

2012    Guest Speaker – National; Association of Independent Financial Advisors (NAIFA) – Implications of Dodd Frank – Fiduciary Standards

2013    Guest Speaker – Broker/Dealer Summit – Supervision and Outside Business Activities
    Issues Unique to Independent Firms

2014    Faculty/Speaker - American Association of Justice – Impact of Regulatory Reform and movement toward Principles Based Regulation

2015    Faculty/Speaker – Financial Planners Association (FPA) – Standards of Care

2015    Faculty/Speaker – Financial Planners Association (FPA) – DOL Fiduciary Proposal

2015    Faculty/Speaker – Public Investors Arbitration Bar Association – Due Diligence of Private Placement Programs – Annuities

2016    Faculty/Speaker – Society of Financial Services Professionals - DOL Fiduciary Rule

2016    Faculty/Speaker – Public Investors Arbitration Bar Association – Conflicts of Interest

2017    Guest Speaker – FINRA District 9 Compliance Small Firms Conference - Supervision
2017    Faculty/Speaker - Society of Financial Service Professionals – Fiduciary Standards

2017    Faculty/Speaker – Public Investors Bar Association – DOL Fiduciary Rule
    Faculty/Speaker – Public Investors Bar Association – Structured Annuities

2018    Guest Lecturer – Syracuse Law School - Securities Litigation and the role of the expert

2018    Panelist/Speaker – Symposium of International In House Counsel at the Law Society London, Great Britain

2019    Guest Lecturer – Syracuse Law School – Fiduciary Duties of Financial Institutions and Practitioners 

Mr. Micciche has been quoted frequently in various publications including; USA Today, Investment News, National Underwriter, Dow Jones Newswire, Life Insurance Selling. He has contributed articles to various industry publications and law journals.