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Hedge
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=== Registered Principals === '''John Dillon (Chief Compliance Officer)''' John is Hedge's Chief Compliance Officer and has an extensive compliance background with over 30 years of experience in the financial services industry. He started his career as an examiner for the New York Stock Exchange, where he worked for 12 years in the department that would later become FINRA. He later worked as an SVP, heading up compliance teams at Citigroup and Morgan Stanley in New York City, before moving to Atlanta in 2010 to become the Chief Compliance Officer for FSC Securities/AIG Advisor Group. He has also headed up compliance departments for several other broker-dealers & registered investment advisors of various sizes. John has extensive knowledge and hands-on experience with all aspects of the independent broker-dealer and advisory channels. '''John Yuhas (Head of Supervision & Operations Manager)''' John Yuhas is Hedge’s Head of Supervision & Operations Manager, as well as our Registered Options Principal and Municipal Securities Principal. He is responsible for the day-to-day functions of the operations department, a role that includes working with all the custodians, reviewing reports, leading the operations team, and etc. He received his undergraduate degree from Maryville College and his MBA from Mercer University. John holds Series 4, 7, 24, 53, 66, and 99 securities registrations. '''Michael Chung (Financial Operations Principal)''' Michael Chung is Hedge’s Financial Operations Principal (FinOp) in partnership with DFP Partners, where he is a Partner and has worked since joining in 2006. Mr. Chung started his career servicing financial industry clients. During his time at DFP Partners, P.C., Mr. Chung served as FINOP and Chief Financial Officer for a wide variety of Broker-Dealers that engage in private placements, M&A, institutional trading, and business activity under the governance of Exchange Act Rule 15a-6. Mr. Chung’s expertise lies with small to medium-sized firms, including start-ups. Mr. Chung is a CPA and FINRA Registered Financial and Operations Principal (Series 27). Mr. Chung is a member of the NYS Society of CPA’s Stock Brokerage Committee. He earned a Bachelor of Science in Accounting from CUNY – Queens College. '''James Doherty (Principal Operations Officer)''' James is Hedge's Principal Operations Officer (POO) and is joining Hedge in partnership with DFP, similar to Michael Chung. James has 25+ years’ experience in financial operations, has been in the senior leadership of one of the largest financial service providers of its time, and was member of the New York Stock Exchange (NYSE). After graduating from Fordham University with a B.S. in Finance, James started his career at Bear Stearns in the Stocks and Options Trade Operations Support department, before eventually working his way up to become a Vice President and the Head of Operations at Bear Stearns, before eventually becoming their Institutional Trading Vice President. After leaving Bear Stearns, James worked as an Operations manager and Compliance Officer for a large investment firm, before becoming the Director of Operations and Principal Operations Officer at DFP Partners (formerly SDDco). He holds Series 7, 15, 25, 27, 28, 55, 63, and 99 securities registrations.
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