CFR is dedicated to providing an efficient means to access accurate information in the
areas of securities compliance, regulatory guidelines, solicitation and disclosure, investor education and protection.
We are a full-service securities compliance consulting firm providing direct support to broker/dealers.
Frank Calimano
Frank has been in the securities industry since 1967, Frank founded CFR Associates to help Broker/Dealers with an outsource
solution to regulatory scrutiny. Frank has held senior positions as Compliance Director, Chief Financial Officer, Assistant
Treasurer, Head Cashier, Director of Human Resources and Branch Office Manager. Currently, Frank serves as the compliance
department for Broker Dealers and Investment advisers.
Norman D. Schwartz
Norman has a diverse securities industry background, which includes management, consulting and positions in finance, compliance,
operations, risk management and branch office management. Norman has consulted on projects of considerable scope. Since entering
the financial industry in 1987 he has held the position of Compliance Officer, Chief Financial Officer, Corporate Secretary
& Corporate Treasurer for both domestic and international firms.
Norman has an M.B.A. from the Long Island University in Finance and a BS in Management; He has active Series 7, 24, 27
and 63 NASD registrations. Norman is a former member of the SIFMA International committee and has been published in various
trade magazines
Robert Gorgia
Bob has been in Financial Services Industry for 35 years, with the last 12 years as a Compliance Specialist. He has been
a CFO for small B/Ds providing the financial compliance and accounting requirements for those firms. He holds 12 securities
licenses with 7 principal licenses (4,7,9,10,14,24,27,53,55,63,65). Mr. Gorgia has been called in to be an expert witness
by 10 law firms across the country in over 200 cases covering FINRA, State and Federal Court. In that capacity he provides
expert testimony not only to compliance issues, but also provides damage calculations, model portfolios, and in depth analysis
of trading in the particular matter. In addition Mr. Gorgia is an Arbitrator with FINRA (NASD), NFA and the NYSE
ADDRESSING THE COMPLIANCE NEEDS OF BROKER DEALERS, WITH COST EFFECTIVE SOLUTIONS. At CFR Associates we put our clients at
the center of everything we do.
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