Peter J. Stangert
Senior Compliance Consultant
Peter J. Stangert is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. He has worked in the securities industry for over thirty-nine years and has a strong background in the areas of securities brokerage and investment adviser regulatory compliance. Mr. Stangert specializes in developing and testing compliance programs, evaluating internal controls, drafting compliance policies and procedures, and compliance reports. As a Registered Financial and Operational Principal, Mr. Stangert is well versed in the preparation and filing of broker-dealer financial reports. Mr. Stangert performs independent audits of broker-dealer and investment advisor AML programs and has served as an AML compliance officer for clients. Additionally, Mr. Stangert serves broker-dealer clients as a Municipal Securities Principal and an Options Principal.
Prior to joining Hardin Compliance Consulting LLC in October of 2010, Mr. Stangert spent seventeen years with PNC Financial Services Group, Inc. as a Senior Manager in the Securities Brokerage and Registered Investment Advisor Compliance Area. Mr. Stangert also served as Chief Compliance Officer for PNC Capital Markets, LLC and PNC Investments, LLC. Prior to PNC, Mr. Stangert spent thirteen years with the NASD (now FINRA) working in the Philadelphia district office as a field examiner and then a supervisor of examiners.
Mr. Stangert holds Series 4, 7, 14, 24, 27 and 53 securities licenses. In addition, he has obtained the Certified Anti-Money Laundering Specialist and Certified Financial Crime Specialist professional designations. Mr. Stangert graduated from Rutgers University in 1978 with a bachelor of arts in finance.
Mr. Stangert owns and operates Independence Antiques, LLC in an antique co-op in Wexford, Pennsylvania.Back to Team Page