Rosalba Ragusa

Rosalba is a highly accomplished and solutions-focused compliance and financial executive with experience implementing, overseeing, and maintaining the daily compliance functions pertaining to SEC and FINRA regulations and standards.

Prior to AEC Advisors, Rosalba served as the Chief Compliance Officer and Financial & Operations Principal (FINOP) / CFO at KBC Securities USA for 10+ years, where she was responsible for all oversight and implementation of compliance standards and financial regulations. Prior to KBC Securities USA, she worked as a Risk Monitoring Analyst at FINRA and previously served in several compliance and accounting roles at ESP Technologies, Merrill Lynch, Deutsche Bank, and Daiwa Securities.  She received a BBA in Accounting from Baruch College.

Rosalba holds FINRA Series 7, 14, 24, 27, 63, and 99 licenses and is a Registered Representative of AEC Transaction Services LLC, Member FINRA.