Brad Anderson


CCO

DFPG Investments, LLC


Brad Anderson is the Chief Compliance Officer at DFPG Investments, a small retail dual-registrant headquartered in Salt Lake City, UT. DFPG is known within the industry for expertise in alternative investments. Brad is the co-founder of the SLC Compliance Roundtable and an advocate for professional development within the securities compliance industry. Brad is the Chair of the BD Sub-Committee of the NSCP Publications Committee. Over the course of his career including compliance and supervision roles at Fidelity and a tour in the United States Marine Corps. Brad has taken what he has learned and applied to become a more effective compliance professional. In particular, Brad has a keen appreciation for the human element in compliance.


Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org