Since joining Benjamin F Edwards in 2009 I have been instrumental in establishing the firm’s compliance curriculum. I continue to develop risk management practices as the industry evolves. I believe I am uniquely positioned to offer insight in these critical areas, having spent more than 30 years in the financial services industry.I am an amateur musician and I enjoy woodworking. Had I not pursued a career in financial services, you most likely would find me teaching music. In my free time, I enjoy spending time with my wife, Sara, my four children, and two grandchildren.I am a graduate of Webster University with a Bachelor of Arts degree in Education and Music. In addition, I hold numerous registrations. I am a recipient of the FINRA Institute/Wharton School Certified Regulatory & Compliance Professional (CRCP) designation, and I served as a member of the Municipal Securities Rulemaking Board (MSRB) Professional Qualifications Advisory Committee.Securities and Advisory Services offered through Benjamin F. Edwards & Co., member FINRA and SIPC. Investing involves risk including the potential loss of principal. Benjamin F. Edwards & Co. does not provide legal or tax advice. Please click on the " Contact and Personal Info" section to access the link to the Benjamin F. Edwards & Co. website for more information about the Firm and other Important Disclosures. Opinions and comments expressed by LinkedIn Members are those of the persons submitting them and should not be considered an endorsement or testimonial.
Listed skills include Supervision, Business Process, and Reviews.