Chris has 28 years of regulatory compliance experience in the financial services industry.
Chris began his career in the Market Surveillance Department at the Philadelphia Stock Exchange. Since then, he has implemented and overseen broker-dealer and investment advisory compliance programs across both retail and institutional markets. His early oversight work included a variety of trading desks and led to the completion of several FINRA licenses, including Series 4, 7, 24, 53, 55, and 87. After a brief stint in Dallas, Texas, working for a private equity advisory firm, Chris and his family returned to the Philadelphia area. He then spent seven years with the Pershing/BNY Mellon advisory compliance group before becoming a consultant and Chief Compliance Officer for SEC-registered investment advisers, including traditional wealth management and private fund advisers.
Chris attended West Chester University in Pennsylvania, where he earned a B.S. in Economics and a B.S. in Finance. He later earned a master’s degree in Applied Economics from Johns Hopkins University. Chris also served eight years in the U.S. Marine Corps Reserve from 1996 to 2004.
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