Gery J. Sadzewicz, Chief Executive Officer
Gery Sadzewicz is the owner and CEO of Gery Sadzewicz Consulting LLC. Gery is a highly skilled securities compliance and business professional with over 30 years’ experience in identifying compliance, financial, and regulatory risks at a variety of firms, from sole-member state advisers to multi-billion dollar international corporations. Among Gery’s significant accomplishments, he has served as CCO, CFO, and FINOP; created a number of broker-dealers and investment advisory firms; provided compliance and financial consulting services to over 100 firms; and managed FINRA and SEC audits in diverse financial service organizations.
Gery holds the Series 4, 7, 24, 27, 53, 63, and 65 licenses, and has served as an NASD Arbitrator. Gery has a Bachelor of Science degree in Finance.
Terri Grogan, Senior Consultant
Terri Grogan is a senior consultant for Gery Sadzewicz Compliance LLC and has been with the company since 2017. Terri is primarily responsible for annual updating amendments, firm reviews, and the review and approval of numerous certifications. Among Terri’s contributions to the company, she served an integral role in rolling out the SalesForce platform.
Prior to joining GSC, Terri co-founded Orgal Wealth Management and spent three years serving as the director of client service. Her experience and expertise include conducting annual compliance reviews for investment advisory firms to ensure compliance with state and federal regulations; acting as filing agent for investment advisory firms’ CRD/IARD account, whereby reviewing and updating Form ADV Parts 1, 2A/2B, and 3 (Form CRS) to ensure consistency; counseling investment advisory firms in regards to compliance, risk matters, practice management, and new industry issues; and utilizing internal compliance tracking systems to ensure investment advisory firms’ adherence to regulatory guidelines.
Terri has an MBA with a concentration in Business Communications and a Bachelor of Science degree in Management and Communications from Concordia University. Terri loves spending time with her new granddaughter, cooking for large family gatherings, and gardening with an emphasis on fresh herbs.
Tom Shea, Senior Consultant
Tom Shea is a senior consultant for Gery Sadzewicz Compliance Consulting LLC as well as managing member and owner of Ravenswood Compliance, LLC. In these roles, Tom is responsible for providing compliance consulting support to registered investment advisers and broker-dealers. He uses his broad industry experience in taking a pragmatic approach to compliance and managing regulatory risk.
For more than a decade, Tom worked for the Financial Industry Regulatory Authority (FINRA) as both a Compliance Examiner and Principal Regulatory Coordinator. His tenure with FINRA was defined by his success in conducting, participating in, and overseeing regulatory investigations of firms engaging in improper sales practices and activities. Prior to joining FINRA, Tom traded derivative securities and learned the importance of identifying and managing risk. Throughout his career, Tom has served as a leader, educator, manager, coordinator, and subject matter expert in a variety of financial settings and positions throughout the country.
Tom has a Master of Science degree in Financial Markets and Trading from the Stuart Graduate School of Business at the Illinois Institute of Technology and a Bachelor of Science degree in Banking and Money Management from Adelphi University.
Kevin Sadzewicz, Compliance Manager
Kevin Sadzewicz has been with Gery Sadzewicz Consulting LLC since 2013. As a compliance manager, Kevin supports SEC clients with day-to-day compliance operations. Kevin leverages his talents with technology-based services to help better facilitate the firm’s operations. Kevin specializes in SEC filings and plays an integral role in the coordination of SEC exams.
Kevin has a Bachelor of Science degree in Finance from Northern Illinois University. In his free time, he likes to spend time with his wife and two kids, hike, BBQ, and play tennis.
Cindy Prinz, Documentation Manager
Cindy Prinz has been with Gery Sadzewicz Consulting LLC since 2010 and brings over 15 years’ experience as a technical and business writer/editor and documentation specialist, including five years for a Fortune 100 company in the telecommunications industry, and another ten in the financial services industry with specialization in securities compliance.
As GSC’s onboarding specialist, Cindy brings her expertise in document preparation and management to the creation/customization/review of ADV Part 2 brochures and Form CRS, compliance and operating procedures, written supervisory procedures, and other required compliance documents. In addition, she coordinates the annual updating amendment and annual compliance review processes.
Cindy holds a Bachelor of Arts degree in English from Florida Atlantic University in Boca Raton, FL. In her spare time, she enjoys honing her mixology skills, collecting more books than she could possibly read in a lifetime, and not correcting other people’s grammar.
Josh Flint, Director of Licensing & Operations
Josh Flint has been with Gery Sadzewicz Consulting LLC since 2010. He currently serves as the Director of Licensing and Operations and specializes in licensing for registered investment advisers and broker-dealers. Josh is responsible for the company’s DocuSign program, ensuring clients have an efficient system to remain in compliance with reporting obligations to the SEC and state regulators. He also facilitates the day-to-day compliance operations for state-registered firms.
Josh holds a Bachelor of Science degree in Marketing from University of Southern Indiana. Outside of GSC, Josh lends his expertise volunteering as an entertainment chair for the Spark! Fishers Festival in Fishers, IN, and the entertainment and marketing chair for the Buffalo Trace Festival in his hometown of Petersburg, IN.