Matt has over twenty years of comprehensive compliance experience having served in several positions including CCO for both broker-dealers and Registered Investment Advisors. He was responsible for overseeing all aspects of compliance for over 500 associated persons, including providing guidance on complex broker-dealer and investment advisor issues; FINRA, SEC, MSRB and state securities rules and regulations; and developing and implementing compliance policies and procedures. He has guided firms through several FINRA, SEC and state regulatory audits and implements practical solutions to meet regulatory requirements. Matt started in the financial services industry as a bank affiliated registered financial specialist and has held multiple FINRA licenses including the Series 6, 7, 24, 53, 63, 66, 79, 87 and 99. He received a B.A. in Economics from the University of Maryland.
