Michael Gerena
About Michael Gerena
Michael Gerena serves as the Senior Director of Investigations at FINRA, where he has worked since 2004. He previously held the position of Variable Annuity Suitability Analyst at NYLIFE Securities LLC from 2000 to 2004.
Current Role at FINRA
Michael Gerena serves as the Senior Director of Investigations at the Financial Industry Regulatory Authority (FINRA). He has held this position since 2004, contributing to the organization's mission of overseeing brokerage firms and protecting investors. His role involves leading investigations into potential violations of securities regulations and ensuring compliance within the financial industry.
Previous Experience at NYLIFE Securities LLC
Before joining FINRA, Michael Gerena worked at NYLIFE Securities LLC as a Variable Annuity Suitability Analyst from 2000 to 2004. During his four years in this role, he focused on assessing the suitability of variable annuity products for clients, ensuring that recommendations aligned with regulatory standards and client needs. This experience provided him with a solid foundation in financial services and compliance.
Education and Academic Background
Michael Gerena studied at the State University of New York at Oswego, where he pursued a Bachelor of Business Administration (BBA) degree. His studies in Business Administration and Management spanned from 1996 to 2000, equipping him with essential knowledge and skills applicable to his career in the financial sector.
Professional Expertise
With over two decades of experience in the financial industry, Michael Gerena possesses extensive expertise in investigations and regulatory compliance. His background in variable annuity suitability analysis and his current role at FINRA highlight his proficiency in navigating complex regulatory environments and addressing compliance issues within the financial services sector.