Senior Compliance Officer
Ed brings us over 20 years of progressive experience in retail brokerage and advisory operations, practice management, sales and compliance, with a focus on the independent and hybrid broker/dealer segment. Within the compliance space, he possesses years of hands-on expertise in the areas of advisor surveillance and oversight, complaint/litigation review and disposition, anti-money laundering, risk assessments, controls, annual testing, branch examinations and compliance marketing reviews, on a national scale. He currently maintains the Series 7, 24, 63, 66 & 99 licenses as well as the Certified Anti-Money Laundering Specialist (CAMS) designation.
Ed is a graduate of Texas A&M University and resides in New Braunfels, Texas. When he’s not working, Ed enjoys traveling, music, cinema, non-fiction books and perfecting his backyard BBQ smoking game.