Experience

University of North Carolina School of Law

• United States
• Higher Education
• 1 - 100 Employee

• Adjunct Professor of Law

  • Aug 2023 - Present



Truist Wealth

• United States
• Financial Services
• 700 & Above Employee

• Chief Operating Officer

  • Jan 2023 - Present

  Due to industry regulations, I am unable to accept recommendations and endorsements. TIS will not accept purchase or sale orders via LinkedIn or its messaging system. Truist Investment Services, Inc., member FINRA/SIPC, is a wholly owned non-bank subsidiary of Truist Financial Corporation. Securities and insurance products or annuities sold, offered or recommended by Truist Investment Services are not a deposit, not FDIC insured, not guaranteed by a bank, not insured by any federal government agency and may lose value. Not all products and services are available in all states and financial advisors for Truist Investment Services may only conduct business in states and jurisdictions where they are properly registered. Therefore, a response for information may be delayed. Investors outside of the United States are subject to additional securities and tax regulations within their applicable jurisdictions that are not addressed on this site. For more information please contact your financial advisor. For additional important disclosures, please visit: https://www.truist.com/wealth/tis-disclosure Show less



Robinhood Financial

• Charlotte, North Carolina, United States

• Chief Compliance Officer

  • Jan 2022 - Oct 2022



LPL Financial

• United States
• Financial Services
• 700 & Above Employee

• Senior Vice President, Associate General Counsel

  • Sep 2015 - Jan 2022



Junior Achievement of Central Carolinas

• United States
• Non-profit Organizations
• 1 - 100 Employee

• Board Member

  • Dec 2019 - Aug 2021



Norton Rose Fulbright

• United Kingdom
• Law Practice
• 700 & Above Employee

• Counsel

  • Sep 2013 - Sep 2015

  Securities Regulatory and Enforcement Attorney Securities Regulatory and Enforcement Attorney



Frost Brokerage Services

• San Antonio, Texas Area

• Senior Legal Affairs Manager

  • Jan 2014 - Jan 2015

  Served as in-house counsel of Frost Brokerage Services and advised on compliance with federal, SRO and state securities laws. (Secondment) Served as in-house counsel of Frost Brokerage Services and advised on compliance with federal, SRO and state securities laws. (Secondment)



Sutherland

• United States
• Law Practice
• 300 - 400 Employee

• Financial Services Attorney

  • Jan 2012 - Aug 2013



CMB Compliance & Business Consulting, LLC

• Securities Regulatory Consultant

  • Jun 2010 - Jan 2012

  Provide outsourced compliance and regulatory support to broker-dealers, investment advisers and other financial institutions. Provide outsourced compliance and regulatory support to broker-dealers, investment advisers and other financial institutions.



WilmerHale

• Associate

  • Sep 2007 - May 2010

  Advised financial services clients, including corporations, banks, broker-dealers, hedge funds, alternative trading systems, and insurance companies on federal and state securities laws and regulations and self-regulatory organization rules. Advised financial services clients, including corporations, banks, broker-dealers, hedge funds, alternative trading systems, and insurance companies on federal and state securities laws and regulations and self-regulatory organization rules.



FINRA

• Sr. Regulatory Specialist

  • Jan 2003 - Mar 2007



Clark/Bardes Financial Services

• Registered Principal

  • Jun 2002 - Dec 2002



HD Vest Financial Services

• United States
• Financial Services
• 100 - 200 Employee

• Senior Compliance Examiner

  • Jun 1999 - Jul 2002