Dave Paulukaitis

Dave Paulukaitis

Managing Director of Mainstay Capital Markets Consultants, Inc

Dave Paulukaitis is the Managing Director of Mainstay Capital Market Consultants, specializing in regulatory compliance and supervisory best practices.

With over 30 years of leadership experience, Dave is a senior broker/dealer compliance consultant, providing regulatory and compliance consulting services to securities brokers/dealers and registered investment advisers nationwide.

He began as an examiner with NASD (now known as FINRA), administering practice exams to the financial, operational, and sales departments of several brokers/dealers. At NASD, he served on several national committees and task forces, instructed trainees through their accredited examiner program, and received the NASD Excellence in Service Award twice.

Today, he channels his expansive knowledge base into coaching other supervisory professionals on regulatory processes and procedures.

At ASN, Dave primarily focuses on risk management. He works closely with the Chief Compliance Officer and ASN advisers like Jaylon Ellison in an effort to identify and protect against potential conflicts of interest.