Logo, Compliance Sherpa, LLC - Compliance Programs

(888) 985-7872
11 Sterling Hill Road, Lyme, CT 06371

About Jared D. Schneid, Managing Member

Jared D. Schneid is an experienced Chief Operating Officer, Chief Compliance Officer, AML Compliance Officer, and General Securities Principal, offering compliance consulting services through Compliance. He has more than 30 years of experience in the securities industry as a floor broker, exchange member, equities and options trader, managing director, and company officer. Mr. Schneid was more recently affiliated with Concept Capital, a leading institutional broker, hedge fund service provider, mini-prime, and a division of Sanders Morris Harris Inc., where he served as the division's compliance officer from May 2008-December 2009.

Mr. Schneid is currently qualified as a General Securities Registered Representative (Series 7), a General Securities Principal (Series 24), a Limited Representative - Equity Trader (Series 55), an Options Principal (Series 4), and a Uniform Securities Agent (Series 63). Mr. Schneid studied political science and criminal justice at Northeastern University in Boston, Massachusetts.

He began his Wall Street career in 1977 at Bernard Herold & Co., a New York Stock Exchange Member Firm, where he served as the firm's trade desk assistant to Mr. Herold. Mr. Schneid became a General Securities Registered Representative in the spring of 1978. In March 1979 Mr. Schneid joined Ernst & Company as an equities & options specialist clerk on the American Stock Exchange, where he remained until May 1982.

From June 1982 to February 1990 Mr. Schneid was a Member of the American Stock Exchange and a Registered Equities & Options Trader. During this time, Mr. Schneid was affiliated with Crooks, Oscher & Co. as an associate, equities and options specialist (January 1984 - April 1986) and Wieskopf, Silver & Co. as an associate, equities and options specialist (June 1986 - February 1990).

From April 1990 to August 1997 Mr. Schneid was a private investor, during which time he recruited private investors and funds for business openings, traded stocks and stock options, and successfully managed a restaurant business. From November 1997 to May 2004, Mr. Schneid worked at Nutmeg Securities, LTD, where he served as Managing Director and ultimately as Chief Operating Officer starting in May 2000. During his tenure at the firm, Mr. Schneid also served as Operations and Relationship Manager and subsequently Director of Electronic Trading, and oversaw departmental functions including execution and clearing services, electronic trading, registration, supervising account management, retail and institutional trading, and correspondent related services. Mr. Schneid was also involved in developing the firm's proprietary electronic trading system, Maslow; selling, training, and managing electronic trading services for institutional clients; measuring, monitoring and conducting analysis of market and credit risk of equity transactions; and recommending and approving limits and making risk/reward transparent. Mr. Schneid was also involved in supervising day-to-day management of the firm, which included maintaining communication channels with institutional clients, developing monthly financial reports for broker billings, and reducing operational break-even costs on a continual basis.

From May 2004 to September 2005 Mr. Schneid was affiliated with ETG Prop Trading, where he traded firm capital. October 2005 to March 2006, Mr. Schneid worked for Altrushare Securities, LLC where he began consulting in April 2005 and successfully guided company through their NASD application process and approval serving as Chief Operating Officer, Chief Compliance Officer.

From February 2007 to September 2007 Mr. Schneid was briefly affiliated with Broadband Capital Management LLC, where he assisted with operational and compliance departments developing policies & procedures guidelines. At this time, he maintained dual registration while guiding Clearview Trading Advisors, Inc. through the FINRA new membership application process.

Immediately before joining the Concept Capital division of Sanders Morris Harris Inc., Mr. Schneid was Chief Operating Officer and Chief Compliance Officer for Clearview Trading Advisors, Inc. from September 2006 through May 2008. Here, he managed the New Member Application with FINRA, implemented the firm's policies and procedures, and oversaw the firm's daily operations, including supervising account management, institutional trading, and correspondent related services. He now runs his own compliance consulting firm, Compliance Sherpa, LLC.

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