Thomas M. Piccone, Esq., is the Associate Regional Director for the examination program in the Securities and Exchange Commission’s Denver Regional Office (“DRO”). Mr. Piccone joined the Commission’s staff in 1997, and worked in the Enforcement Division as an Attorney, Branch Chief, Trial Counsel, and Special Counsel before transitioning into the examination program. He served as the Assistant Regional Director for the DRO’s investment adviser and investment company examination program from 2009 until moving into his current position in 2014. Prior to joining the SEC, Mr. Piccone worked as an attorney with Gibson, Dunn & Crutcher; served as a law clerk for U.S. District Court Judge Alfred A. Arraj; and was employed as a member of the management information consulting division of Arthur Andersen & Co. He became a certified public accountant in Colorado (currently inactive) in 1988. Mr. Piccone received his bachelor’s degree in business (accounting) magna cum laude from the University of Colorado; and he earned his law degree from the University of Colorado Law School, where he was awarded the Order of the Coif.

(04/23)