Former FINRA Exec Pasquerella Joins Webb

Jeffrey Pasquerella has agreed to be the Chief Operating Officer and General Counsel for Jim R. Webb’s enterprise, which include of three small broker dealers and a Registered Investment Advisor. 

Mr. Pasquerella will be the President of American Global Wealth Services, Inc. and will assume responsibility for operational and day-to-day. He will report to the Company's Chairman and Chief Executive Officer Jim R. Webb.

Prior to joining the firm, Jeffrey Pasquerellawas Managing Director and Head of Financial Crimes Compliance for UBS in North and South America.  Before UBS, Jeff spent 17 years at FINRA.  Most recently, Mr. Pasquerellaserved as Regional Director and Senior Vice President overseeing FINRA’s South Region, which includes offices in Atlanta, Boca Raton, Dallas and New Orleans, as well as overseeing FINRA’s national AML Investigative Unit and helped create and oversaw FINRA’s Securities Helpline for Seniors.  Prior to serving as Regional Director, Mr. Pasquerellawas the District Director of FINRA’s District 10 Office located in New York.  

According to Webb, “I have known Jeff for several years and am excited he has chosen to join and lead our team. Hisexperience and leadership is exactly what we need to guide our organization." 

Mr. Pasquerella’ s move into the Small Firm arena is sure to make a big impact.     "I am excited to be working with Jim and the entire executive team to help propel this great group of financial services firms as they enter their next stage," said Jeff Pasquerella. "I am confident bringing my years of regulatory and compliance experience to bear will help Jim and the team grow the business in a responsible planned way.  We want to provide an environment where representatives and advisors can focus on their clients’ needs.”


David Martin - (770) 450-6961 |

Source: Cape Securities Inc.

Categories: Finance, Financial and Insurance Services

Tags: American Global Wealth, Benchmark, Cape Investment Advisory, Cape Securities, FINRA, Pasquerella, Webb

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