President & CEO
Respecting the true independent nature of the advisor, Clive Slovin is focused on building a financial services organization that is a platform for collaboration among SFA’s financial advisors.
He operates on a strong belief that form needs to follow function in order for professional advisors to provide a superior level of service for their clients. Equally important to him is creating an environment of professional support and camaraderie – starting with real and responsive advisor relationships, fresh thinking, and a whole new culture of financial services innovation.
Clive’s astute business approach is a result of many years of experience – first as a CPA in public practice with one of the top international accounting firms, followed by over 25 years’ experience in the independent contractor financial services industry. He has held posts as Chief Financial Officer of FSC Securities and then Chief Operating Officer and later President & CEO of Investors Financial Group, which became part of the ING broker-dealers. Clive has been President & CEO of SFA since it was formed in 2003.
Arthur Goldsmith
Senior VP of Operations
As Senior Vice President of Operations and Technology for SFA, Arthur brings a wealth of knowledge and experience to the forefront. From 2001 until joining SFA, he was Managing Director with The Mainstay Group Capital Markets Consultants, in charge of developing compliance and operational initiatives domestically and internationally.
Arthur’s extensive operational and compliance background has also included working with KPMG and the Intrados Group in the former Soviet Union and Eastern Europe, where he worked with capital markets development in many capacities including creating a central depository, the Ukrainian Trading System, and regulators for new Securities Commissions.
Prior to that, Arthur held the post of Senior Vice President/Director of Operations and Technology with Johnson Lane and served as a member of the Board of Directors. In addition to Operations and Technology, he was responsible for Branch Operations administration. He created and managed a retail agency trade desk as well as a state-of-the-art Customer Service organization.
Arthur is currently Chairman of the Financial Service Institutes’ Operations Council and member of the FSI Board of Directors. He attended New York University majoring in Investment Banking.
Alan Solon
Chief Marketing Officer
As a career brand marketing professional, Alan brings a full spectrum of financial industry marketing experience to SFA. He is responsible for the revenue driven side of the business including design and implementation of the company's national marketing operations. His responsibilities include strategic planning, product development, advertising and public relations programs. He also leads the company's efforts for recruiting, advisor support, conferences and business development initiatives.
Alan began his career in New York City and earned account management positions at some of the largest advertising agencies in the world, including Ogilvy & Mather New York and Earle Palmer Brown. There, he worked on a number of leading financial accounts including Citigroup, Barclay’s, American Express, and the Bank of Tokyo.
In the early nineties, he started his own advertising and marketing agency specializing in the financial industry. From community banks, credit cards, mortgages, insurance and investments Alan has helped build success stories for many high-profile clients.
As CMO, Alan continues to draw from his extensive financial industry background, strategic business disciplines, and marketing savvy – helping to develop SFA’s stature as a leading-edge securities firm for the 21st century.
Ed Woll
Chief Compliance Officer
Overseeing SFA’s Corporate Compliance Program and Policies, Ed leads with the experience and knowledge of more than 25 years in the financial services industry. Prior to joining SFA in 2003, he was Director of Regional Supervision for World Group Securities, Inc, and was a Regional Compliance Manager for AXA Advisors, LLC.
On a day-to-day basis, Ed is responsible for developing, initiating, maintaining, and revising policies and procedures for the general operation of the Compliance Program. He also continually monitors the performance of the program – ensuring that all compliance activities are carried out both appropriately and effectively.
Ed serves on the Financial Services Institute Compliance Counsel. Ed has a Bachelors’ degree in Communications from the University of Georgia and serves on the Financial Services Institute Compliance Council.
Alex Sywak
Vice President
With over 25 years of management/legal/compliance expertise in financial services for broker-dealers and insurance companies, including 20 years involvement with US securities, Alex leads by example.
As a registered principal for the firm, he is responsible for designing, implementing and enforcing compliance and supervisory procedures. Alex also supervises OSJ Managers and other registered representatives. Alex uses his diverse background and experience in the compliance arena – looking at issues from both a compliance and sales point of view.
Having worked at a number of leading financial and insurance concerns, Alex has compiled an impressive list of achievements, including spearheading the incorporation of an insurance company, two broker-dealers, a Series Fund and an investment advisor. Other lead responsibilities have included compliance, sales and marketing, relationship management, departmental management, project management, and product development. Alex spent the first eight years of his of his career providing a broad range of legal services to a multinational insurance corporation.
Alex holds a BA from the University of Toronto and a Bachelor of Law from the University of West Ontario.
