Director of Wealth Manager Services with CSS, a Confluence Company, partnering with firms to make compliance a source of strength. As a consultant, I use my years of experience to help RIAs navigate the complex world of regulations at both the SEC and state levels. As a consultant, I write policies and procedures, conduct annual reviews, make regulatory filings (e.g. Form ADV and Form 13F) manage examinations, and have even been named an outsourced CCO. Clients range from one-man start-ups to nationwide firms with hundreds of employees and billions in assets under management.

As a member of the Compliance Solutions Advisory Board, I meet with other CCOs and Schwab to help think through Schwab's Compliance Solution's offering. This is an uncompensated position and I am not an employee of Charles Schwab.

Dan Haynes is a Vice President and Summit's Chief Compliance Officer. In this capacity, Dan is responsible for the maintenance, development and execution of the firm's compliance program. Dan also leads efforts in the ongoing development and implementation of client service initiatives in all areas. Working in both banking and investments, he has over 10 years of regulatory experience.

We are Buckingham, a growing organization of advisors, financial specialists and national thought leaders committed to delivering on the promise of true wealth management. As a Registered Investment Advisor, the essence of our approach is based on a pledge to act in the best interest of our clients, including individuals, businesses, trusts, non-profit organizations, healthcare professionals and retirement plans. We put the power of evidence-based investing and thoughtful, multi-faceted planning to work for our clients, helping them safeguard their financial futures and achieve their most important goals.

BAM Advisor Services is a turnkey wealth management partner focused on helping advancing business for 140 independent wealth management firms around the country. BAM provides firms with strategic growth solutions, operational support and tested, evidence-based investing tools. We partner with firms and provide guidance on business development and growth strategies, execute critical administrative functions and create continuing education opportunities for advisors. Known collectively as The BAM ALLIANCE, our community of like-minded wealth advisors is helping more than 18,000 clients and their families achieve their most important goals.

I worked here after high school to help pay for college.