Steve is a Senior Compliance Officer with supervisory oversight of the firm’s various activities and its branch locations.
Steve has over 30 years of investment adviser and broker-dealer experience with leading firms including Charles Schwab, Morgan Stanley, and UBS. Most recently, Steve was a Vice President of Compliance at First Republic Securities Co., where he was responsible for all regulatory matters, including examinations, policies and procedures, and communications with the public. As a Senior Compliance Officer, Steve also had oversight of Trading and Operations. Steve’s philosophy is to always strive for the “win-win” solution, which can help advisors grow their practice while balancing the ever-changing regulatory environment.
Steve earned his Bachelor of Science in Finance from California State University, Sacramento. He and his wife live in Moraga, CA, where they enjoy gardening, cooking, and fine wine as well as some occasional babysitting of their three grandchildren.