Philip Antico is a partner based in Withum, Smith + Brown, PC’s New York City office with more than 16 years of experience in public accounting. He provides audit, accounting and tax services to a diversified group of clients in both the private and public sectors, including broker-dealers, private equity groups, hedge funds, SEC companies, manufacturing, distribution and other commercial businesses. Philip also has experience with employee benefit plan services. Specific to broker-dealers, Philip has experience across all lines of business conducted within the industry spanning from small introducing to large clearing firms. Philip is one of the authors of the 2013 – 2017 versions of “PPC’s Practice Aids for Audits of Noncarrying Broker-Dealers,” a Thompson Reuters product used by CPA Firms. Philip is a certified public accountant licensed in New York and New Jersey and earned Bachelor of Science and Master of Science degrees in accounting from St. John’s University. Philip is a member of the American Institute of Certified Public Accountants (AICPA), the New York State Society of CPAs (NYSSCPA) and the NYSSCPA Stockbrokerage Committee.

Jessica Cicero has over 15 years of experience and serves as an audit partner with expertise in financial services. She is the Team Lead of Broker-Dealer services and the Dean of Audit Fellows. She specializes in broker-dealers, SPACs, ETFs and private equity funds. Jessica is an active member of the Firm’s Women in Financial Services Team.

Richard M. Feldman, CPA, heads up the Northeast practice of Maven Strategic Solutions, an outsourced CFO and FINOP firm that services clients nationwide. He has served as a CFO and FINOP for various companies for over 20 years, including firms ranging from large national self-clearing firms to small start-ups, including such notable names as Waterhouse Securities, Muriel Siebert Securities and BUYandHOLD Securities. Prior to becoming a FINOP, he worked in the audit group of Deloitte & Touche, servicing such clients as Merrill Lynch, Dean Witter and Bear Stearns. He has a particular expertise in small to medium-sized entrepreneurial firms, including start-ups, with direct hands-on experience in many facets of the broker/dealer industry including retail, institutional, discount, investment banking and proprietary trading. He has been an active member of the NYSSCPA’s Broker/Dealer Committee, frequently serving as an expert speaker on net capital and FINOP issues at industry-wide seminars.

Bob E. Lehman is a founding member of Lehman & Eilen LLP, a corporate and securities boutique law firm based in Uniondale New York which will be celebrating its 30th anniversary on June 1st. Bob manages L&E’s broker-dealer, investment adviser, investment partnership, and corporate and commercial transaction practice group. His clients are located throughout the United States with many organized as U.S. affiliates of foreign-based securities firms operating in such diverse areas of the world as India, Japan, Ireland, Norway, South Africa, and the United Kingdom. Over the course of his 40 years of practice, Bob has organized hundreds of broker-dealers, numerous investment advisers and private funds as well as structured and closed dozens of corporate transactions for these entities. Bob has advised hundreds of industry participants in regulatory and corporate matters, from start up to dissolution and everything in between, including representing firms and individuals in enforcement actions, advising on reorganizations, financings and commercial transactions, and counseling non-U.S. financial services entities on conducting a securities business in the U.S. His work involves matters with the SEC, FINRA, the CFTC, the NFA, national securities exchanges and clearing organizations and all state securities regulatory authorities. Bob’s clients engage in all aspects of the securities, futures and commodities industries, and range from limited purpose firms engaged exclusively in private placements, mergers and acquisitions and Rule 15a-6 chaperone activities, to full-service retail and institutional introducing broker-dealers, as well as clearing and carrying firms. Bob’s clients are SEC registered and FINRA member broker-dealers, many of whom are also exchange permit holders. Bob also represents SEC registered, exempt reporting and state registered investment advisers servicing both institutional and retail advisory clients. Bob’s broker-dealer clearing clients are also members of clearing organizations, including the Depository Trust Company and its subsidiaries, including the Depository Trust Company Corporation, the National Securities Clearing Corporation, the Fixed Income Clearing Corporation, and the Options Clearing Corporation and he regularly interacts with these regulatory authorities. His client engagements frequently involve securing regulatory approval to engage in all categories of securities and investment banking activities, including portfolio margin, securities lending and prime brokerage, full clearing, and all levels of investment banking activities.

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