Dante P. Bartoletti
  David P. Semak
  Pamela J. Watson
  Kelley D. Wright
  Jenyfer B. Tucker

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Dante P. Bartoletti
Founder and Managing Director

 Dante P. Bartoletti, founder and Managing Director of InvestmentCare Consulting Group, Inc., manages the company’s operations, client relations, consulting services and product development. Mr. Bartoletti has more than thirteen years of securities compliance, auditing and accounting experience. He specializes in compliance and regulatory areas including: supervision and oversight, books and records, anti-money laundering, internal inspections, special investigations, certification of compliance/supervisory control systems and processes, business continuity, communication with the public, sales practice violations, customer complaints, the FINRA Membership Application Process and the Investment Advisor registration process. Mr. Bartoletti has extensive experience with the rules, regulations and interpretations of SEC, FINRA, the MSRB, and state jurisdictions. Complimenting his knowledge of these rules, is his hands-on experience working with both clients and regulatory staff in the practical application of these rules and interpretations. He also maintains a Series 27 Financial and Operations Principal registration.

Mr. Bartoletti assists broker/dealer and investment advisor clients in developing supervisory systems, creating books and records maintenance and retention programs, hosting training for compliance professionals and establishing back office processes and operations. He advises clients regarding internal operations, business processes and practices, risk management and investment product compliance. Mr. Bartoletti also works closely with clients’ legal counsel and board of directors conducting special investigation of compliance or operations violations to identify failure points or deficiencies and make recommendations of corrective actions. He has also assisted firms in reviewing, preparing, presenting and filing self-reporting of rule or regulation violations to regulatory agencies.

Prior to forming InvestmentCare, Mr. Bartoletti was a securities examiner with FINRA (f/k/a NASD) where he conducted comprehensive examinations and investigations of its member firms and registered representatives for compliance with SEC, FINRA, MSRB and state rules and regulations. During his tenure with FINRA, Mr. Bartoletti was selected to lead and participate in several formal regulatory actions involving violations of sales practice, private securities transactions, net capital, communications with the public and supervision violations resulting in fines and sanctions. He also worked with enforcement attorneys conducting special investigations and chaired on-the-record testimonials of registered investment professionals.

Mr. Bartoletti began his career with The Dial Corporation working in the finance and accounting departments. He also worked in the customer service department for Murad, Inc. investigating credit fraud inquiries and spent one year in Paris, France working for the Baan/Aurum Business Unit of Bull Integris.

Mr. Bartoletti served in the United States Marine Corps and was honorably discharged after eight year of service. Mr. Bartoletti received his Bachelor of Arts degree in European Studies from Loyola Marymount University and his Master of International Business degree from Pepperdine University. He periodically speaks at compliance conferences and seminars across the U.S.

David P. Semak
Senior Compliance Consultant

David P. Semak is an independent consultant of securities markets regulation with more than thirty-two years of regulatory experience.. Mr. Semak specializes in the requirements of NASD rules 3010 and 3012, FINRA rules 3310 and 3013, pre-audit preparation, Written Supervisory Procedures, BD compliance program evaluation, trading floor-related regulatory issues, analysis and expert testimony relating to insider trading, manipulation, marking-the-close, and other potential rule violations, and Investment Advisor requirements including Form ADV. Mr. Semak has extensive experience with the rules and regulations of FINRA, the SEC, the MSRB, the National Futures Association, state jurisdictions and equity and options exchanges.

As a consultant, Mr. Semak provides services to broker/dealers, Registered Investment Advisors, domestic and foreign exchanges and law firms. Mr. Semak has also testified in federal court as an expert witness regarding an insider trading case.

Prior to launching his consulting business in 1999, Mr. Semak spent nearly twenty-one years at the Pacific Exchange in a variety of analytical and managerial positions within the Exchange's regulatory division. From 1988 through September 1999, Mr. Semak served as Vice President of Regulation and was responsible for the Exchange's equity and options surveillance; enforcement; securities qualification (listings); member examinations (financial compliance); regulatory policy; and regulatory development and oversight departments. Mr. Semak represented the Pacific Exchange on a number of national and international groups and organizations including the Intermarket Surveillance Group (ISG), NASAA, IOSCO, and FIBV.

Mr. Semak received his BA and MA degrees in history from California State University, Northridge, and is a member of the Securities Industry and Financial Markets Association's Compliance and Legal Division.


Pamela J. Watson
FINOP/FOCUS Specialist

Pamela J. Watson, FINOP/FOCUS Specialist, monitors the net capital positions and manages the bookkeeping, generation, review, approval and submission of InvestmentCare's clients' financial statements and FOCUS filings.  Ms. Watson brings to the firm over twenty-five years of accounting and finance experience.  She started her career in the oil industry, working as a cost accountant for Atlantic Richfield Company, where she was responsible for cost accounting for the Prudhoe Bay Facilities construction project. 

Ms. Watson moved into the securities industry, managing the fund accounting department for Capital Research and Management Company, the investment adviser for the giant American Funds mutual fund group.  Ms. Watson then moved on to CFO positions with Kleinwort Benson, a British merchant bank, and Anworth Mortgage Asset Corporation, a mortgage real estate investment trust.  She performed FinOp duties at Coast Asset Management, Syndicated Capital and Strome Securities.

Ms. Watson holds a BS in Accounting from Lehigh University in Bethlehem, PA and an MBA in Finance from Claremont Graduate University.  She holds Series 7, 24 and 27 securities registrations.

Kelley D. Wright
Associate Compliance Consultant

Kelley D. Wright, Associate Compliance Consultant, coordinates the administration and completion of client projects, research and special investigations for InvestmentCare. Mr. Wright also interacts with CRD/IARD, the Office of General Counsel and state regulators. He has more than 11 years of securities compliance, registration and regulatory experience specializing in registration matters, WebCRD/IARD, analysis of registration histories and investigations and resolution of form filing disputes.

Prior to joining InvestmentCare, Mr. Wright held numerous positions with the NASD for more than 10 years working with and for the Office of General Counsel and the Departments of Registration and Disclosure, Membership, Enforcement and Research. During his tenure, he also assisted the Securities and Exchange Commission and the Federal Bureau of Investigation with investigations of securities violations.
Jenyfer B. Tucker
Associate Compliance Consultant

Jenyfer B. Tucker, Associate Compliance Consultant, supports and coordinates the administration and completion of client engagements, research and special projects for InvestmentCare.  Ms. Tucker also assists with CRD/IARD filings, state registrations and client submissions to regulatory bodies. She has more than seven years of experience in the securities industry in various areas of compliance and operations.

Prior to joining InvestmentCare, Ms. Tucker held numerous positions with several broker/dealers working with high level producing registered representatives and branch managers handling office operations and compliance department issues. Ms. Tucker is currently in the process of obtaining her Bachelor of Arts in Business Administration.

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