Chief Compliance Officer
In his role as Chief Compliance Officer, Mr. Spatola is responsible for the compliance program at Ladenburg Thalmann. He provides compliance oversight to the firm, its financial professionals, and promotes the firm’s culture that encourages ethical conduct and commitment to compliance. Mr. Spatola's industry background spans more than 25 years, of which 15 years has been with Ladenburg, and includes extensive experience in retail & institutional office branch management, administration, compliance and operations management of private client service back and middle offices. He holds a B.S. degree in Communications from St. John's University, as well as holding the series 4, 7, 9, 10, 24, 53 and 63 licenses.