Sean Gilmartin

Chief Compliance Officer, DriveWealth Institutional

Mr.Gilmartin has spent nearly three decades in senior compliance roles in the broker-dealer industry, Fintech and as a regulator, including positions as the CCO of Liquid, a Director of Regulation at the New York Stock Exchange (NYSE), and in senior compliance roles at Merrill Lynch and Jefferies.  At Liquid, Mr. Gilmartin was responsible for building a robust compliance program and surveillance functions focusing on crypto currency trading under US state regulations.

While at the NYSE, Mr. Gilmartin was responsible for rebuilding its surveillance and investigations program for trading across its five equity and options exchanges.  Mr. Gilmartin has held a total of ten financial services registrations including the series 4, 7, 9, 10, 24, 57, and 14 exams as well as holding a NYSE floor broker designation. Mr. Gilmartin spent 17years as an active and vocal member of several of FINRA’s exam review committees as well as NYSE business conduct committees.

Mr. Gilmartin is an attorney and has acted as legal counsel on behalf of the firm’s he has worked at, often providing legal guidance and counsel to his firms’ senior product managers as part of his day-to-day duties.  He holds a Bachelor of Business Administration degree from Iona College and received his Juris Doctor from Seton Hall University.  He is ACAMS qualified since 2018 and is admitted to practice in New York State and before the United States District Court for the Southern District of New York.