Christopher M.
Wealth Management Investment Advisor Compliance and Regulatory Law
I am an experienced financial services compliance officer and general counsel with over 10 years of running registered investment advisor compliance and legal departments, structuring compliance programs, adapting to new regulations and working with governmental entities such as the SEC and self regulatory bodies like FINRA. I have often been responsible for representing registered investment advisors in SEC examinations as well as structuring or writing responses for these examinations. I have a great deal of experience in running compliance programs for registered investment advisors as well as writing and negotiating contracts for all areas of operations of these companies as the General Counsel. I have worked with broker dealers, registered investment advisors, mutual funds, clearing firms, compliance consulting firms, product design and creation firms, and advisor branch offices. I have been intimately involved in most areas of business for the entire industry and I believe that i have a good deal of experience and help to offer in many areas of the industry.
Earnings and projects
An estimate from an earlier read
Billed in all: $5,154$5.2k
Across 9 contracts
Earnings, last 30 days
No data since Nov 5, 2026.