Monica DiFiore2018-04-02T12:15:53+00:00

Monica DiFiore

Chief Compliance Officer

Ms. DiFiore serves as the Chief Compliance Officer (CCO) of Merger & Acquisition Capital Services, LLC an affiliate of Merger & Acquisition Services.  She has twenty years of experience in broker dealer and investment adviser activities and provides regulatory oversight and management to the firm in various areas including registration, compliance programs, policies and procedures, annual compliance reviews, training, and anti-money laundering.

Ms. DiFiore currently holds the following Financial Industry Regulatory Authority (FINRA) licenses; General Securities Representative (Series 7), General Securities Principal (Series 24), Uniform Investment Adviser (Series 65), Uniform Securities Agent (Series 63), Limited Representative – Equity Trader (Series 55) and Registered Options Principal (Series 4).

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