Manager of Supervision
Cetera Wealth Services, LLC.

Partner, Fintech and Financial Services
Wilson Sonsini Goodrich & Rosati

CCO

Element Pointe Advisors, LLC

Partner

Kirkland & Ellis LLP

Chief Risk and Compliance Officer

SBA Florida

Managing Director

ACA

Vice President- Compliance

PGIM Investments/PIMS

Partner

Winget, Spadafora & Schwartzberg, LLP

Chief Compliance Officer

Crescat Capital LLC

Chief Compliance Officer

Coinbase Asset Management, LLC

CEO

AI Guardian

Manager, Compliance

Mariner Wealth Advisors

Chief Compliance Officer

Invex, LLC

Director

Kroll

Head of Compliance

STP ComplianceAdvisor

Head of PCG Supervision Governance and Reporting

Raymond James

Senior Vice President, Market Abuse, Surveillance and Market Intelligence, Market Regulation

FINRA

Chief Compliance Officer, General Counsel and Secretary

LAB Quantitative Strategies

Managing Director

MCG Consulting LLC

VP, Chief AML Compliance Officer

Commonwealth

Practice Leader - Financial Crimes Solutions

Baker Tilly

Managing Director

Bates Group

Senior Manager

Kaufman Rossin

Director of Regulatory Affairs

Cetera Financial Group

Founder & Owner

Helios

Chief Compliance Officer

COUNTRY Capital Management Company

Chief Compliance Officer

Peaceable Street Capital

Partner

Womble Bond Dickinson

Executive Director Compliance Services

Confluence

Chief Compliance Officer

Berthel Fisher & Co Financial Services Inc