Managing Directors and Consultants
Since our inception Mainstay Capital Markets Consultants has developed a reputation for delivering high quality service. Simply, we are dedicated to our clients. A qualified and experienced staff is the key to our success. Mainstay assures the quality of its associates by adhering to strict hiring policies. We believe our role is to provide sound guidance, advice and services that enhance and protect our clients' businesses.
Mainstay’s Managing Directors, Thomas C. Prescott, Jr.
, David E. Paulukaitis
and Kenneth E. Newman
along with its project managers and consulting staff offer in-depth knowledge and expertise acquired during successful careers in the Division of Market Regulation and the Division of Enforcement of the Securities and Exchange Commission, FINRA, Broker/Dealers, Registered Investment Companies, Registered Investment Advisors, and Banks. Additionally, we participate in continuing education conferences, regulatory outreach programs and maintain the most up-to-date information and materials available to assist in serving our clients.