Peter Svorinic has been employed in the securities industry for over 34 years, with over 17 years directly in a compliance officer capacity. He has expertise in compliance, securities regulation, risk operations, and sales supervision on both the investment adviser and broker-dealer side. He is currently employed as Senior Vice President and Chief Compliance Officer for Moors Cabot Inc. in Boston, MA. Prior to that Mr. Svorinic served as Chief Compliance Officer at Acorns, a Fin Tech investment adviser and broker-dealer located in Irvine, CA. Mr. Svorinic worked for 17 years at Fidelity Investments. In his last position as Director of Business Oversight, he was responsible for oversight and risk management for Fidelity Brokerage Service’s $100B retail managed accounts program. From 2003 to 2010, Mr. Svorinic served as Vice President of Client and Supervisory Oversight at Fidelity Institutional Wealth Services (IWS) where he established, implemented, and enforced compliance and sales practice procedures for the independent investment advisor custody and clearing platform. Prior to that, Mr. Svorinic supervised a team of compliance professionals who provided compliance oversight of discretionary and non-discretionary managed account products and services for nine separate registered investment advisers with greater than $300B in AUM. Upon joining Fidelity in 1999, Mr. Svorinic directed overall support of the compliance program for the Institutional Brokerage business. Prior to Fidelity, he also worked at CIBC World Markets, Oppenheimer Co, Bear Stearns, and Dean Witter, and J.B Hanauer Co. Mr. Svorinic earned a BA in Economics from Georgetown University and an MBA in Finance from Seton Hall University. He maintains both the Certified Regulatory and Compliance Professional (CRCP™) designation, offered through the FINRA Institute at Wharton, and Investment Adviser Certified Compliance Professional (IACCP®) designation. Mr. Svorinic obtain the Certified Anti-Money Laundering Specialist (CAMS®) designation in 2018 and the Certification in Blockchain and Digital Assets (DACFP®) in 2021. In addition, Mr. Svorinic serves as an Industry Arbitrator for FINRA Dispute Resolution and a Member of SIFMA’s Compliance and Legal Society. He is registered with the following securities licenses: Series 7, Series 8, Series 24, Series 4, Series 53, Series 55, Series 14, Series 27, Series 57, Series 54, and Series 66.
SVP and CCO
Moors and Cabot
Serving Clients in these States