Mr. Kapuscinski has been engaged in the securities industry since 1966 in both the public and the private sectors. He has held senior positions as Chief Administrative Officer, Founding Broker Dealer Principal, Senior and Compliance Options Principal, Municipal Principal, and Director of Compliance, which also involved business development and product enhancement responsibilities, as well as Capital Markets compliance. He began his career with the New York Stock Exchange in the Regulatory and Surveillance Department and has been associated with small, medium, and large brokerage firms as well as US and international banking organizations. He is currently qualified in the US as a General Securities Principal, Registered Options Principal, Municipal Securities Principal, General Securities Sales Supervisor, Branch Office Manager, Registered Representative, and formerly in the UK as an FSA Manager, and General Representative. He was associated with the Securities Industry and Financial Markets Association Membership, and Self-Regulation and Supervisory Practices Committees, and is currently a member of their Compliance and Legal Division, as well as an active arbitrator for the Financial Industry Regulatory Authority, and a former member of the Emerging Markets Traders Association, and the National Society of Compliance professionals. He is qualified as an expert witness, and serves as an Essay Judge for the Foundation for Investor Education and the Securities Industry and Financial Markets Association.

He advises financial services companies by providing both specialized and general consulting services to the international and domestic financial services industry on governmental, self regulatory organization, and regulatory compliance affairs as well as general administrative, operational, and sales and marketing issues. Clients include a variety of Broker/Dealers, Banks, Dealer Banks, Investment Advisors, Hedge Funds, and other providers of financial services. He has over forty years of progressive administrative, compliance, and sales related experience, and acts as the compliance department and primary regulatory contact (FED, SEC, SRO's, and individual state) for several firms as well as serves as a senior officer and qualifying principal, and is both interim principal for emerging organizations and firms in transition, and a full time principal and FINRA Executive Representative for other broker dealers. This activity allows him to maintain the pulse of the financial service's environment.

He also specializes in startup companies with both domestic and international products, providing advice, and guidance in such areas as sales and trading, regulatory management, and registration, accounting and bookkeeping, payroll, blue sky matters, compliance issues, and legal, audit, and regulatory interface. He performs compliance consulting, including the preparation of customized policy and procedures manuals, for compliance, supervision (front, middle, and back office), as well as operations. This includes working with in-house or outside counsel to insure each unique business facet is addressed and that risk management is not overlooked, and that client needs are serviced on a diverse and complex basis.

He earned a Bachelor of Science degree from IONA College.