Dave Paulukaitis

Mr. David E.
Paulukaitis is Managing Member at Advisory Services Network LLC.
He has over 30 years experience in virtually every aspect of broker/dealer compliance.
Prior to co-founding Advisory Services Network in 2009, Mr. Paulukaitis began as an examiner with NASD, now known as FINRA, conducting financial/operational and sales practice examinations on a wide variety of broker/dealers.
He then spent a number of years conducting and supervising sales practice investigations before being promoted to Associate Director of the Atlanta District Office, where he was responsible for overseeing all of the District's regulatory programs.
During his NASD career, he served on a number of national NASD committees and task forces, was an instructor in NASD's accredited examiner training program for ten years, and was a two-time recipient of NASD's Excellence in Service Award.
Since 2005, he has served as a Managing Director with ASN’s parent company, Mainstay Capital Markets Consultants, Inc. he provides regulatory and compliance consulting services to securities broker/dealers and registered investment advisers throughout the United States, focusing on the areas of supervision, supervisory controls, sales practices, and regulatory risk management.
His work with ASN focuses primarily on risk management.
He is a graduate of the University of Alabama in Huntsville.