David is a senior consultant with more than 25 years in the financial services industry. His career began in 1982 with the Pacific Stock Exchange (PSE) in San Francisco. Starting in 1985 David managed and directed high volume proprietary equity trading operations for Merrill Lynch and Charles Schwab as a Specialist on the floor of the PSE, where he remained until 1998.

Moving into compliance and risk management, David oversaw proprietary trading operations at several firms, providing principal trade oversight and FINRA and SEC audit support.

Prior to joining Oyster, David was the operations manager for regulatory trade reporting at Wells Fargo Advisors’ subsidiary, First Clearing. David managed a team of nine with oversight responsibility for OATS, MSRB, TRACE and INSITE reporting. As the senior project member for the OATS implementation team, David worked through multiple FINRA rule rollouts, the most recent being “OATS for all NMS Securities” which became effective October 17th, 2011.

David is past Chairman of Wachovia Securities’ Regulatory Initiatives Committee and past President of the Pacific Stock Exchange Equity Floor Trading Committee. David has passed the FINRA Series 7, 24, 55 and 63 exams, which are currently inactive.