Stephen Hart is the Chief Compliance Officer for Efficient Market Advisors (EMA), a business division of Cantor Fitzgerald Investment Advisors. Prior to joining the Firm, Stephen served as the Chief Compliance Officer for two leading franchises, including most recently Allen & Company (both Investment Adviser and Broker-Dealer), and previously Robotti & Company (also for both Investment Adviser and Broker-Dealer). Before that, Stephen was at BlackRock, where he served as the global CAO of its Compliance department.
Stephen holds an Investment Adviser Core Compliance Certification as well as his FINRA Series 7, 24, 66 and 99 licenses. In December 2013, he was elected for a three-year term to FINRA’s Small Firm Advisory Board (SFAB) for New York City and Long Island, a body which reviews FINRA rule proposals and provides guidance to the FINRA Board of Governors. He also served as a Dispute Resolution Arbitrator for District 10.
Stephen holds a B.A. degree in Political Science from the University of Pennsylvania and an M.S. degree in Banking and Financial Services Management from Boston University.