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Kevin J. Mainelli

Chief Compliance Officer
Managing Director
RED Capital Markets, LLC (Member FINRA/SIPC)

Kevin Mainelli joined RED in October 2000 and is responsible for ensuring compliance with the various rules and regulations for each entity within the Capital Group. Prior to joining the Group, Mr. Mainelli was with Newman and Associates, Inc., based in Denver, Colorado, where he served as Director of Compliance. Prior to that, Mr. Mainelli spent five years as Director of Compliance for Banc One Capital Markets, Inc. and previous to that, he was with FirstTier Securities in Lincoln, Nebraska, where he spent several years in Compliance & Investment Operations and Equity/Options Trader roles. Mr. Mainelli is a member of the National Society of Compliance Professionals and the Financial Markets Association.

RED Capital Group is a wholly owned subsidiary of ORIX Corporation USA