Experience

CoastalOne
• United States
• Financial Services
• 1 - 100 Employee
• Chief Compliance Officer

  • Sep 2021 - Present


Barrett Schultz Consulting

• Managing Principal

  • May 2005 - Present

  I am the managing principal of Barrett Schultz Consulting. I oversee the firm's logistical systems and operations. I have 18 years of experience in the financial services industry, and I hold a Series 6, 7, 63 and 24 securities license. I received my bachelor’s degree in Finance from the University of Texas in San Antonio and my MBA from the University of the Incarnate Word. I presently contract out my services to several different broker dealers and investment companies. I am the managing principal of Barrett Schultz Consulting. I oversee the firm's logistical systems and operations. I have 18 years of experience in the financial services industry, and I hold a Series 6, 7, 63 and 24 securities license. I received my bachelor’s degree in Finance from the University of Texas in San Antonio and my MBA from the University of the Incarnate Word. I presently contract out my services to several different broker dealers and investment companies.



McNally Financial Services Corporation

• United States
• Financial Services
• 1 - 100 Employee

• VP of Operations and Chief Compliance Officer

  • Jan 2011 - Sep 2021

  Experienced Chief Compliance Officer and financial services senior executive with significant experience advising broker dealers and registered investment advisors and overseeing all FINRA registered and non-registered branches. Series 6, 7, and 24 licenses Experienced Chief Compliance Officer and financial services senior executive with significant experience advising broker dealers and registered investment advisors and overseeing all FINRA registered and non-registered branches. Series 6, 7, and 24 licenses



ILG Securities

• President and Chief Compliance Officer

  • Dec 2006 - Jun 2018

  I serve as the Chief Compliance Officer and AML Officer for the Broker Dealer. I oversee the annual audits, FINRA registrations, annual compliance meeting, and all regulatory and firm element training and report directly to the board of directors. I serve as the Chief Compliance Officer and AML Officer for the Broker Dealer. I oversee the annual audits, FINRA registrations, annual compliance meeting, and all regulatory and firm element training and report directly to the board of directors.



Investors Life Insurance Company of North America - Seperate Accounts

• Chief Compliance Officer

  • Oct 2009 - May 2018

  I serve as the Chief Compliance Officer of the Separate Accounts business of the Investment Company. I ensure that the firm complies with all applicable SEA rules and regulations and I oversee all of the annual audits. I serve as the Chief Compliance Officer of the Separate Accounts business of the Investment Company. I ensure that the firm complies with all applicable SEA rules and regulations and I oversee all of the annual audits.


U.S. Global Investors
• United States
• Investment Management
• 1 - 100 Employee
• Managment Consultant

  • Nov 2005 - Nov 2008

HMPP LLC
• United States
• Consultant

  • Dec 2005 - May 2006

Financial Industries Corp.
• United States
• Insurance
• Consultant

  • Sep 2004 - Apr 2006

USAA
• Financial Services
• 1 - 100 Employee
• Manager

  • 1992 - 2004