Kaufman Rossin Expands Broker-Dealer Practice with Nick Hartofilis and Bao Q. Nguyen

Bao Nguyen, CAMS,CFE,CRCP | FICPA | May 15, 2013

Kaufman Rossin, one of the largest independent accounting firms in Florida, announced today the addition of director Nick Hartofilis and manager Bao Q. Nguyen to the firm’s growing broker-dealer practice. Both are former examiners and managers with the Financial Industry Regulatory Authority (FINRA).

“We are thrilled to have Nick and Bao join our team and are confident that their combined experience will bolster the strength of our growing broker-dealer practice, an area in which we are seeing increased client demand,” said Blain Heckaman, managing principal of the firm.

Prior to joining the firm, Hartofilis worked as an examination manager at FINRA where he was responsible for leading a national anti-money laundering (AML) unit that monitored broker-dealers for compliance with the USA PATRIOT Act and Bank Secrecy Act (BSA). He has more than 13 years of experience in the financial services industry and focuses his practice on recognizing and assessing compliance risks at broker-dealers, hedge funds and investment advisers. In addition, he provides compliance solutions, including annual compliance reviews, AML independent testing and look-backs, and foreign finder due diligence.

Nguyen has extensive experience in the securities industry, which includes conducting some of the most complex AML audits of the broker-dealer’s business to ensure compliance with FINRA, AML rules and BSA. Previously, he worked as the chief compliance officer and anti-money laundering compliance officer for a Florida broker-dealer and investment advisor firm. In addition, Nguyen held a position as a principal examiner with FINRA.

Kaufman, Rossin’s broker-dealer practice performs independent audit and assurance, tax and consulting services for hundreds of financial services clients, including brokers, clearing brokers, carrying brokers and more.

Read about Nick Hartofilis and Bao Q. Nguyen at FICPA.

Read the Bao Q. Nguyen announcement at South Florida Business Journal.

Bao Nguyen, CAMS, CFE, CRCP, is a Risk Advisory Services Broker-Dealer and Investment Adviser Services at Kaufman Rossin, one of the Top 100 CPA and advisory firms in the U.S.