Mark Axelrod

Vice President COO Divisional Control and Regulatory Office, Deutsche Bank

Mark E. Axelrod, MBA, CPA is currently Vice President of Regulatory Reporting for Deutsche Bank Securities, Inc. where he is responsible for adherence to the SEC Customer Protection Rule 15c3-3. After obtaining his undergraduate degree from Syracuse University in 1973 and his Masters of Business Administration from Pace University in 1978 Mark joined the Public Account Firm of Oppenheim, Appel, Dixon & Co., which at the time was one of the foremost accounting and auditing firms for the broker/dealer industry. After five years with OAD, during which Mark earned his CPA certificate, he was appointed Chief Financial Officer of Adler, Coleman & Co., the fifth largest specialist and a member firm of The New York Stock Exchange. Mark was instrumental in developing the carrying and clearing subsidiary of Adler, Coleman, which at the time of its sale cleared for over thirty introducing broker/dealers.

Mark continued his career as a general partner at Wagner Stott Mercator Partners and then as Vice President of operations at U.S. Clearing Corp. In his more than thirty four years in broker/dealer operations Mark has served on the board of The National Society of Compliance Professionals and for five years was an instructor of Stock Brokerage Accounting at the New York Institute of Finance. Mark has offered operations and regulatory seminars for FINRA, at their campus in Rockville Maryland, for SIFMA as well as several private seminars to many select broker/dealers and ancillary industry companies.