John Ivan

John Ivan recently joined Oyster Consulting, LLC as Managing Director, where he collaborates with clients on all aspects of broker-dealer and investment compliance, and serves as an Expert Witness. John leverages his experience leading both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues. John’s consulting experience prior to working with Oyster includes Off Channel Communications, Regulation BI, regulatory remediations, and expert testimony on supervision and industry practice issues. John served as Chief Compliance Officer for Raymond James & Associates, Inc. retail and capital markets broker-dealer, and was also head of Compliance for all of Raymond James’ retail and dual registrant businesses including the independent channel. Prior to that, he was Managing Director at Bank of America Merrill Lynch, covering Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC, in Philadelphia. John also served in senior compliance and legal roles at Goldman Sachs in New York, and at First Union Securities (and other Wells Fargo Advisors’ predecessor firms) in Richmond, Virginia.

Previous
Previous

Stephen Wilkes

Next
Next

Jessica Thayer