Robert Trapp has over 30 years of cross-cultural business experience with both public and privately owned companies from a diversity of industries – finance, hospitality & tourism, real estate, mining, software and consumer goods. His expertise is in the areas of operational management, administration, financial management, marketing, and regulatory compliance. Mr. Trapp held senior-level positions, these roles included; CEO, GM, Managing Director and participated on several boards. Mr. Trapp experienced restructuring and a market capitalization of various types of companies. Responsible for the managing and supervision of operations where he acted as a securities principal of American Fronteer an NASD licensed brokerage house with retail sales, corporate finance, public finance, trading, fixed income and research. Mr Trapp is a graduate of the University of Calgary and Ryerson Polytechnical Institute. He holds the FINRA Series 7, 24, 79, and 63 Licenses.
FINANCIAL & OPERATIONS PRINCIPAL
Ernie Kappotis has been the Financial & Operations Principal (“FINOP”) of BMI Capital International LLC since 2016. Mr. Kappotis performs his Principal responsibilities through Intersource Consulting Group LLC, where he serves as Chief Financial Officer. An honors graduate of Boston College and former FINRA Examiner for 4 years specializing in financial and overall compliance matters out of the Boston District, Mr. Kappotis has worked in the broker-dealer industry since 2004. A licensed FINOP since 2007, Mr. Kappotis has fulfilled such Financial Principal obligations both under the full-time employment of one broker-dealer, and currently as FINOP for multiple firms under Intersource Consulting Group LLC. Mr. Kappotis holds the FINRA/NASAA Series 27, 7, and 66 Licenses and contributes a wealth of knowledge to his broker-dealer clients.
CHIEF COMPLIANCE OFFICER
Don Pollard has been the Chief Compliance Officer of BMI Capital International LLC since 2017. Mr. Pollard performs his Principal responsibilities through Intersource Consulting Group where he serves as the Chief Executive Officer of Intersource Consulting Group, located in New York, overseeing Compliance, Operations and Business Development for ICG. Mr. Pollard is an experienced executive with over 25 years in the financial services industry. He was an integral driver in constructing the online trading platform at Quick & Reilly, while also, at that time, navigating and maintaining the required compliance for that digital arena. Mr. Pollard has also held executive and management roles in compliance and operations with E*Trade, Oppenheimer and Smith Barney. Don serves as the remote Chief Compliance Officer (“CCO”) for broker-dealers & registered investment advisers (“RIA”s). Mr. Pollard is a graduate of St. Joseph’s College with a B.S. in Organizational Management. He holds the FINRA Series 24, 7, 4, 8, and 63 Licenses.