PINE STREET FINANCIAL GROUP - Key Persons
Job Titles:
- Chief Executive Officer
- President
Ms. Hart is a seasoned financial services professional with extensive experience managing brokerage, trading and regulatory businesses. Her expertise extends across all aspects of a securities business to include legal, compliance, operations and marketing. She has worked with several start-up ventures creating and implementing processes in addition to revitalizing struggling business models. As a principal of PSFG, she works closely with clients in the securities industry who need assistance meeting their compliance requirements.
Before joining PSFG, Ms. Hart spent over 25 years in the securities industry where she developed extensive knowledge about securities compliance. She has established a number of compliance programs for start up ventures, including a compliance program for a wholesaling broker-dealer associated with a sponsor of alternative investments. This firm raised over $2.5 billion in assets in just over two years. She also managed the regulatory businesses for the Philadelphia Stock Exchange and, earlier in her career, worked for a large, super-regional banking institution where, among other projects, she managed the conversion of its discount brokerage business to a full service firm and created a compliance program for its investment advisory business.
Ms. Hart has held Series 4, 7, 24, 27, 53, 63 and 65 licenses and is a member of the bars of the Commonwealth of Pennsylvania and the State of New Jersey. Ms. Hart received an A.B. from Sarah Lawrence College and a J.D. from Temple University's Beasley School of Law. She has spoken on industry and regulatory panels at the local and national level.
Mr. Hart is a financial services professional with broad experience in commercial and investment banking risk management. For the past twenty years he has counseled international banks, central banks and pension funds on managing risks in all aspects of their business operations.
Prior to founding PSFG, Mr. Hart spent thirty years in commercial and investment banking where he successfully managed domestic and international lending businesses as well as served as credit policy officer and chief lending officer of large, super-regional banking institutions.
Mr. Hart received a Bachelor of Arts degree from Virginia Military Institute. Mr. Hart also serves as the chief financial officer of a non-governmental organization dedicated to improving business ethics in Russia.