Ed has over thirty years of experience in the financial services industry since starting at the SEC after law school. In his role as Compliance Consultant, Ed will be responsible for conducting examinations of broker-dealer home and branch offices, AML testing and Rule 3120 testing. He will also assist with investment adviser examinations and testing and provide the full range of compliance consulting services as needed. Ed has served as the CCO and General Counsel for a number of broker- dealers and investment advisers where he was responsible for all aspects of their compliance programs and the supervision of registered staff. Recently, Ed has operated a consulting practice providing branch office examination services to broker-dealers and investment advisers across the country. Ed was previously a Sr. Vice President and CCO for Genworth Financial’s broker-dealer and investment adviser channel. Ed has served on two FINRA district committees and as Chairman of several other industry committees.
Direct: (603) 216-8949 | Email: firstname.lastname@example.org