Dave Paulukaitis

Dave Paulikitis serves as Managing Director of Mainstay Capital Markets Consultants, a strategic partner to Valoren Smarte Wealth Advisers in the areas of regulatory compliance and supervisory oversight. Over a distinguished career spanning more than 35 years, Mr. Paulikitis has been deeply engaged in virtually every facet of broker-dealer compliance, bringing a comprehensive and highly technical understanding of the regulatory landscape governing financial institutions.

He began his career as an examiner with the National Association of Securities Dealers (NASD), now known as FINRA, where he conducted financial, operational, and sales practice examinations across a broad spectrum of broker-dealers. During his tenure, he served on multiple national NASD committees and task forces, contributed as an instructor in NASD’s accredited examiner training program for over a decade, and was twice recognized with the NASD Excellence in Service Award. His experience provides a rare combination of regulatory insight and practical application, particularly in navigating complex supervisory and enforcement environments.

Mr. Paulikitis provides regulatory and compliance consulting services to broker-dealers and registered investment advisers nationwide, with a focus on supervision, supervisory controls, sales practices, and enterprise-level regulatory risk management. He has also led numerous regulator-mandated undertakings in connection with SEC, state, and FINRA enforcement resolutions. In his work with Valoren Smarte Wealth Advisers, he concentrates on risk management and compliance architecture, collaborating closely with the firm’s Chief Compliance Officer, Chief Investment Officer, and Advisory Services Network to proactively identify, assess, and mitigate potential conflicts of interest and regulatory exposure.