CIMA Financial Regulation Consultants, LLC is led by Carlos González-Stawinski. Carlos is an Attorney with a Masters of Laws (LLM) in Financial Services Law from Kent College of Law and with over 20 years of experience in financial services laws and regulations. Carlos started his career as a Legal Counsel for the Puerto Rico Office of the Commissioner of Financial Institutions where led enforcement cases against registered representatives and broker/dealers as well as developed securities and capital markets regulation for the Commonwealth. Since then, he has occupied Senior leadership positions in leading global financial institutions where he has been instrumental in…

HEAD OF CIMA STRATEGIC SOLUTIONS Daniel has been a financial services executive and leader for the last 25 years with senior roles at top US and international firms. He started his career in 1995, and worked in the operations departments of Dean Witter Reynolds, Santander Securities and Doral Securities in Puerto Rico. In 1999, he moved to Miami and Joined Morgan Stanley Dean Witter as an International Financial Advisor. His career in management started in 2002, with UBS International where he was the Sales Manager for the Downtown Miami International Branch. In 2005, he moved back to Puerto Rico to lead sales for…

Sandra is a seasoned attorney with over 10 years of experience in labor law litigation and employee relations. Sandra started her career as an Associate Attorney at several law firms in Puerto Rico. She later became a Special Legal Assistant to the Administrator of the Puerto Rico State Insurance Fund where she advised on legal matters relating to workers compensation, health insurances and labor disputes. In 2015, Sandra obtained her Certificate of Special Needs Advocacy from the William and Marry College of Law to help parents of special needs children in advocating their children’s rights within the public education system. Currently,…

Mike is an experienced compliance and supervision officer with 10 years of experience in the investment industry. Mike began his education in accounting and information systems in his hometown at the City University of New York and relocated to South Florida to earn an M.B.A. concentrated in Finance and Investments from the Wayne Huizenga School of Business at Nova Southeastern University. Mike has held several positions in the investment finance industry at various Broker Dealers, Registered Investment Advisors, Banks, and even a Commodity Futures Trading firm. Currently, Mike is a Consultant with CIMA FRC where his responsibilities range from advisor supervision…

Alejandro has over 25 years of experience in the Wealth Management Industry, of which 22 have been in the International Sector. He has been responsible for the regulatory oversite of franchise offices in Brasil, Chile, Colombia, Peru and Uruguay, has serve as Compliance Registered Option Principal and has performed support roles for internal branch examinations and FINRA audits for International Financial institutions such as Citbank. Alejandro served as Business lead of the following key projects : Migration to new Clearing Agent/Platform Migration to new e-mail monitoring system Foreign Associate Onboarding and Certification Program. Alejandro obtained his Bachelor’s degree in Accounting with a Minor in…

With a robust background in compliance and supervision, Jessica Kaufman brings over six years of experience in the investment industry to CIMA FRC. Her expertise is demonstrated through meticulous email surveillance, comprehensive Annual Compliance Reviews, and adept management of client files to ensure regulatory compliance. Jessica's proficiency extends to the thorough review of advisory accounts, ensuring suitability and regulatory adherence. Her educational foundation in International Business and Trade and her bilingual fluency in Spanish and English position her as a dynamic and versatile asset to the team. Jessica's commitment to excellence is evident through her rigorous approach to maintaining industry…

Marisel’s professional journey is impressive and multifaceted. With 18 years of experience, she has honed her skills in administrative planning, employee management, and operations oversight. She began her career as an Administrator, at the University of Florida. She later became the Operations Manager of the Southwestern Educational Society School, a well-recognized College Prep-School in Puerto Rico. Her contribution enhanced the institution’s operational efficiency. She currently holds the role of Compliance Analyst, at CIMA Financial Regulation Consultants. Her responsibilities include, overseeing accounts opening, conducting investigations, and ensuring client due diligence. Beyond her professional endeavors, Marisel has made a positive impact as part of the Board of Directors at “Centro Espibi.” This center…