Joseph A. Hanczor
Profile
Mr. Joseph A.
Hanczor is Chief Compliance Officer at Spectrum Asset Management, Inc. Prior to joining Spectrum in 2009, Mr. Hanczor served as legal counsel and compliance director for global investment advisory firms and broker/dealers for more than twenty years, advising them on a wide range of compliance, legal, regulatory, risk management and litigation matters.
Mr. Hanczor has held positions at Merrill Lynch as Director of Global Compliance Advisory Services at UBS as Chief Divisional Counsel and at Smith Barney/Shearson Lehman Brothers as Divisional Legal Officer.
He also devoted several years to private law practice where he represented major financial services firms.
He participates in various securities industry legal and compliance associations, where he is a frequent speaker, and was recently co-chair of the Legal Ethics sub-committee of the American Bar Association.
Mr. Hanczor holds a BA from Fordham College, a JD from Fordham Law School, FINRA Series 7, 24 and 63 registrations, and is a Member of the Connecticut, New York and Florida Bar.
Former positions of Joseph A. Hanczor
| Companies | Position | End |
|---|---|---|
UBS Asset Management (Americas), Inc.
 UBS Asset Management (Americas), Inc. Investment ManagersFinance UBS Asset Management (Americas) LLC (UBS AM) is a SEC-registered investment advisor headquartered in New York City. The firm was founded in 2000 as UBS Global Asset Management (Americas), Inc. They are a wholly owned subsidiary of UBS Americas, Inc., ultimately owned by UBS Group AG (SIX: UBSG; NYSE: UBS) in Switzerland. UBS AM provides investment products and services to corporate and public pension plans, financial institutions and advisors, central banks, charities, foundations and individual investors around the world. | Corporate Officer/Principal | - |
Merrill Lynch & Co., Inc. /Old/
 Merrill Lynch & Co., Inc. /Old/ Investment Banks/BrokersFinance Merrill Lynch & Co., Inc. provided wealth management, securities trading and sales, corporate finance and investment banking services. Merrill Lynch was a global trader and underwriter of securities and derivatives across a range of asset classes and serve as a strategic advisor to governments, institutions and individuals worldwide. The company was founded in 1913 and was headquartered in Charlotte, NC. | Corporate Officer/Principal | - |
| Smith Barney & Co., Inc. | Corporate Officer/Principal | - |
Spectrum Asset Management, Inc.
 Spectrum Asset Management, Inc. Investment ManagersFinance Spectrum Asset Management, Inc. (SAM) is an investment advisor headquartered in Stamford, Connecticut. The firm was founded in 1987 by Mark Lieb. In 2001, they were acquired by Principal Global Investors Holding Company (US) LLC (PGI), the asset management arm of The Principal Financial Group, Inc. (NYSE: PFG). SAM provides portfolio management services to registered mutual funds, private investment funds, foreign funds such as UCITS, sponsors of wrap account programs, corporate pension and profit–sharing plans, charitable institutions, insurance companies, foundations, endowments, and other US and international institutions. | Compliance Officer | - |
Training of Joseph A. Hanczor
| Fordham University | Graduate Degree |
Experiences
Positions held
Linked companies
| Private companies | 4 |
|---|---|
Spectrum Asset Management, Inc.
Spectrum Asset Management, Inc. Investment ManagersFinance Spectrum Asset Management, Inc. (SAM) is an investment advisor headquartered in Stamford, Connecticut. The firm was founded in 1987 by Mark Lieb. In 2001, they were acquired by Principal Global Investors Holding Company (US) LLC (PGI), the asset management arm of The Principal Financial Group, Inc. (NYSE: PFG). SAM provides portfolio management services to registered mutual funds, private investment funds, foreign funds such as UCITS, sponsors of wrap account programs, corporate pension and profit–sharing plans, charitable institutions, insurance companies, foundations, endowments, and other US and international institutions. | Finance |
Merrill Lynch & Co., Inc. /Old/
Merrill Lynch & Co., Inc. /Old/ Investment Banks/BrokersFinance Merrill Lynch & Co., Inc. provided wealth management, securities trading and sales, corporate finance and investment banking services. Merrill Lynch was a global trader and underwriter of securities and derivatives across a range of asset classes and serve as a strategic advisor to governments, institutions and individuals worldwide. The company was founded in 1913 and was headquartered in Charlotte, NC. | Finance |
| Smith Barney & Co., Inc. | Finance |
UBS Asset Management (Americas), Inc.
UBS Asset Management (Americas), Inc. Investment ManagersFinance UBS Asset Management (Americas) LLC (UBS AM) is a SEC-registered investment advisor headquartered in New York City. The firm was founded in 2000 as UBS Global Asset Management (Americas), Inc. They are a wholly owned subsidiary of UBS Americas, Inc., ultimately owned by UBS Group AG (SIX: UBSG; NYSE: UBS) in Switzerland. UBS AM provides investment products and services to corporate and public pension plans, financial institutions and advisors, central banks, charities, foundations and individual investors around the world. | Finance |
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