JUSTIN DAUSCH
Principal Manager, COO & Counsel | FINRA Principal & Board Member
Prior to launching 3iCO Securities, Justin served as principal managing a leading private placement broker-dealer engaged in principal underwriting involving various different networking arrangements. Every day Justin offers comprehensive assistance to investment management and broker-dealer clients, specializing in navigating the intricate landscape of financial services regulations. Justin adeptly tackles complexities in product and broker-dealer regulation and oversees Securities and Exchange Commission (SEC) and FINRA examinations and investigations with finesse. Justin has held pivotal positions such as Chief Compliance Officer, AML Officer, and Senior Counsel across various SEC and FINRA-registered investment management firms.
DONNA RITTERSHAUSEN
Principal Manager, CCO | FINRA Principal & Board Member
Donna has served as the company’s Principal, managing the business for over ten years. She has specialized in SEC and FINRA regulatory compliance for over 25 years, serving in Chief Compliance Officer and Executive roles with SEC-registered Investment Advisers engaged in wealth management and private fund businesses, as well as private placement Broker-Dealers. Donna has developed expertise in liquid asset management, private placements, AML programs, operations, corporate governance, and risk management, with a passion for enhancing the investor experience. As Compliance Director at 3iCO, Donna effectively integrates workable compliance solutions for our clients. She holds an insurance producer license in Pennsylvania, as well as various FINRA securities licenses.