In his role as Chief Compliance Officer, Mark works closely with the Tradition Wealth Management financial advisors and staff professionals to help build and maintain a strong culture of compliance built on the framework of the industry rules and regulations. Additionally, Mark is responsible for designing, implementing, and monitoring the policies, procedures, and processes by which Tradition Wealth Management must comply to help ensure that the firm is following all legal and regulatory requirements.
Prior to joining Tradition Wealth Management, Mark served as a supervising principal for an independent broker dealer and registered investment advisor (RIA) where he managed, supervised, and coached financial advisors across the country.
Mark has more than 15 years of experience in the financial services industry and holds his Series 7, 66, 52, 53, and 24 FINRA registrations. He earned a Bachelor of Business Administration (BBA) in Finance from the University of Wisconsin – Eau Claire.