Anthony Cavallaro
Tony Cavallaro is a Senior Director and Chief Compliance Officer for Robinhood Financial, LLC and Robinhood Securities, LLC, overseeing compliance functions for Robinhood’s brokerage business. Prior to his current role Mr. Cavallaro was responsible for overseeing the governance functions for Robinhood’s Customer Experience and Customer Trust and Safety areas. He joined Robinhood in 2021 as the Head of Regulatory Services for Robinhood Financial LLC where he supervised the regulatory response area, complaint reporting unit, licensing and registration area, and helped establish Robinhood’s current vulnerable adults program. Prior to Robinhood, Mr. Cavallaro spent 24 years in various regulatory positions at FINRA and the NYSE. He was a senior vice president of FINRA’s Office of Fraud Detection and Market Intelligence where he supervised the review and investigation of regulatory filings, complaints and regulatory tips, and he was the chair of the FINRA industry wide Complaints Initiatives Committee for over 12 years. Mr. Cavallaro was also a vice president in the Enforcement Departments of FINRA and NYSE Enforcement. He has presented at numerous industry conferences including numerous FINRA Annual & Regional Conferences, NYSE Annual Conferences, the SIFMA C&L Annual Conference, NASAA, NSCP and FSDA events, and was an adjunct instructor for the National White Collar Crime Center.
Prior to joining the NYSE, Mr. Cavallaro was an Assistant District Attorney in the New York County District Attorney’s Office where he was responsible for investigating and prosecuting various criminal matters including white-collar cases.
Mr. Cavallaro received his law degree from St. John’s University School Law and a B.S. in finance from Fordham University, College of Business Administration. He is a military veteran and retired with the rank of major after 20 years of service in the US Army Reserve.