Experience

DFPG Investments

• United States
• Financial Services
• 1 - 100 Employee

• Director of IA Compliance

  • Apr 2018 - Present

  La Canada Flintridge California



American Financial Network Advisory Services, LLC.

• Chief Compliance Officer

  • Aug 2017 - Mar 2018

  Calabasas, CA



Penniall & Associates, Inc. now Bridge Advisory, LLC

• United States
• Financial Services
• 1 - 100 Employee

• Financial Advisor

  • Jun 2008 - Sep 2017

  Pasadena, California Helped clients meet their financial objectives by offering comprehensive financial planning. Services included cash flow management & budgeting, risk management, investment management, tax planning & preparation, retirement planning and estate planning. Specialized in portfolio management.



Core Compliance & Legal Services, Inc.

• United States
• Financial Services
• 1 - 100 Employee

• Senior Compliance Consultant

  • May 2015 - Jul 2017

  Greater Los Angeles Area, CA Assisted BDs and RIAs with their compliance programs through a broad array of outsourcing and consulting services.



Advisor Solutions Group

• Senior Compliance Consultant

  • Jul 2014 - Apr 2015

  Newport Beach, CA Assisted RIAs with policy & procedure design, implementation and monitoring. Clients were start-up to mid-size RIAs and typical services include drafting compliance manuals, ADVs, disclosures as well as performing annual compliance reviews. Maintenance services included managing registrations and providing continuous compliance support in meeting the firm's regulatory obligations.



Western International Securities

• United States
• Financial Services
• 100 - 200 Employee

• COO

  • Jul 1996 - Jun 2008

  Pasadena, California I started at Western International as a Financial Planner and in 2001 became the Chief Compliance Officer. At the time there were approximately 225 advisers. In 2005 I took on the additional responsibilites as Chief Operating Officer with a staff of 30. The firm had a complex business model which provided excellent experience in the areas of Insurance Brokerage, Registered Investment Advisory, Commodity Futures, Investment Banking, Research and Market Making.



Baraban Securities

• Branch Manager / Financial Adviser

  • Oct 1982 - Jul 1996

  Pasadena, California I attended Baraban's "Learn & Earn" program to attain my securities licenses. After passing the Series 7 I worked in trading and operations and gained valuable experience while acquiring other licenses and designations. In 1986 I became a producing Branch Manager where I managed 40 brokers.