Adam Scaramella

Adam Scaramella is a seasoned C-suite financial services executive with decades of experience advising and leading broker-dealers, insurance companies, investment advisers, investment companies, and insurance regulators. His practice focuses on securities and insurance regulatory matters, product development and distribution, compliance governance, and risk management. As both a corporate executive overseeing a broker-dealer and the chief legal officer for multiple broker-dealer/investment advisers, Adam blends deep industry knowledge with practical business leadership.

Before joining the firm, Adam served as president of Prudential Investment Management Services LLC and vice president of regulatory supervision for the Prudential Insurance Company of America. In these roles, he led the broker-dealer supporting multiple Prudential and PGIM asset management businesses, overseeing more than 1,400 associated persons. He played a critical role in transforming the subsidiary’s supervisory structure and operational controls.

Throughout his career at Prudential, Adam held several senior leadership positions, including chief legal officer for Prudential Advisors and chief counsel at Prudential Retirement and Annuities, where he led legal teams supporting product development, distribution, marketing, operations, and regulatory affairs across both retail and institutional businesses. His regulatory counsel experience includes advising on matters involving the SEC, FINRA, the Department of Labor, and state insurance and securities regulators. In these roles, he served as a primary liaison with key regulatory bodies and industry trade associations, providing strategic legal support for federal and state lobbying initiatives, and has been a frequent speaker at industry seminars and corporate events.

Earlier in his career, Adam served as assistant general counsel for Mellon Bank/Dreyfus Corp. and held senior legal roles at Provident Mutual Life Insurance Co., PMA Insurance Group, and the New Jersey Department of Law and Public Safety, where he served as deputy attorney general.

Having served as a regulator, in-house attorney, chief legal officer, and business leader, Adam brings an integrated, 360-degree understanding of the regulatory, legal, and operational challenges financial services firms face. He is known for his ability to rally diverse stakeholders — including regulators, trade associations, and corporate leaders — around shared goals that advance both industry objectives and the public interest. This perspective enables him to communicate effectively across all stakeholder groups, bridging regulatory, legal, and business priorities to help clients navigate their complex regulatory environments while designing and delivering compliant products and services to customers.

Adam remains actively engaged in the financial services community. He currently serves as president and trustee of the Burlington County Bar Foundation, is a member of the Business Leadership Forum at the Union League of Philadelphia, and is a committee member at Founding Forward. He previously served on FINRA’s North Regional Committee.

• Burlington County Bar Foundation
  • President and Trustee
• Founding Forward
  • Speakers Committee
• Union League of Philadelphia
  • Business Leadership Forum
  • Ambassadors Committee

• "The Securities Regulators’ Playbook: Enforcement, Innovation, and Expectations," 2026 IRI Annual Conference, Tampa, FL (April 23, 2026)
• "FINRA: Advertising, Social Media, and Regulatory Developments," ALI CLE Conference on Life Insurance Products, Washington, D.C. (November 14, 2025)