VP COMPLIANCE & REGULATORY SERVICES
Tom leads initiatives related to the development and distribution of PRI’s ERISA Compliance Subscription services. He also participates in the compliance reviews and custom consulting projects with an emphasis on broker-dealers and registered investment advisers.
Tom began his professional career in 1984 with the NASD (now FINRA). During the next 13 years Tom was responsible for conducting (and managing) regulatory examinations of broker-dealers. In 1997 Tom resigned to become Chief Compliance Officer of BMA Financial Services, Inc., a broker-dealer and registered investment adviser. In this role, He was responsible for the firm’s overall compliance with NASD, SEC and MSRB rules.
In 2000, Tom returned to FINRA to become District Director of the Kansas City District Office where he was responsible for overseeing the annual execution of FINRA’s regulatory programs throughout a seven state territory that included 250 broker-dealers, 15,000 branch offices and 115,000 registered representatives. While serving as District Director, Tom represented FINRA at numerous industry conferences including the FINRA Small Firm Conference, CCO outreach, SIFMA Compliance and Legal as well as numerous roundtables and broker-dealer conferences. Tom earned a President’s Award for his role in helping to develop the FINRA Small Firm Conference.
Tom obtained a Bachelor of Science, Business Administration – Finance from the University of Missouri in Columbia, MO in 1984. He is also a graduate of the Securities Industry Institute at the Wharton School, University of Pennsylvania in 2006. Tom also successfully completed the Leadership Development Program at the Center for Creative Leadership in Colorado Springs, CO and the FINRA Leadership Program at the Wharton School, University of Pennsylvania.