Carl Marks Securities Appoints Jon Roberts as Chief Compliance Officer

NEW YORK–(BUSINESS WIRE)–Carl Marks Securities, the broker-dealer affiliate of Carl Marks Advisors, a leading investment bank offering financial and operational advisory services to middle-market companies, announced today the appointment of Jon Roberts as Chief Compliance Officer. Roberts will lead CMS’s compliance arm as it evolves to meet increasing regulatory expectations. 

“Jon is crucial to our ongoing efforts to strengthen our compliance management,” said Evan Tomaskovic, Chief Executive Officer of Carl Marks Securities. “His extensive knowledge of compliance and over 25 years of experience in financial advisory work are a real asset to CMS and will ensure that our actions and decisions comply with all applicable laws and regulations.”

Jon Roberts joined Carl Marks Advisors in 1998, providing financial and operational restructuring services to client stakeholders. In addition to his new role as Chief Compliance Officer of Carl Marks Securities, Jon is integral in many of Carl Marks Advisors’ day-to-day operations, including contractual negotiations and legal documentation, engagement oversight and tracking, client and third-party partner liaison, and engagement staffing.

About Carl Marks Securities

Carl Marks Securities LLC, the broker-dealer affiliate of Carl Marks Advisory Group LLC (Carl Marks Advisors), provides financial advisory services to middle market companies, including advice related to mergers, acquisitions, company sales, private placement of debt and equity capital and financial restructurings. Carl Marks Securities LLC is a member of FINRA and SIPC.

About Carl Marks Advisors

Carl Marks Advisory Group LLC (Carl Marks Advisors) is a New York-based investment bank that provides financial and operational advisory services. Our integrated client service teams unite industry, operations, and transaction expertise to create effective solutions in complex situations. Securities are offered through Carl Marks Securities LLC, a member of FINRA and SIPC.

Additional information about Carl Marks Advisory Group LLC and Carl Marks Securities LLC is available at and