BS, California State University
With more than 30 years of industry experience, including positions as Chief Compliance Officer and Chief Administrative Officer and partner of an investment advisor and broker-dealer, Jeff provides a deep knowledge base clients and prospective clients have come to depend on. Jeff consults broker-dealers, investment advisers, hedge funds, and private equity firms on various issues regarding SEC and FINRA regulation on topics such as the preparation for regulatory audits and other compliance-specific tasks. Jeff also consults on business issues as they relate to compliance. Jeff has achieved a FINRA/Wharton certification as a Certified Regulatory and Compliance Professional (CRCP).
Prior to joining Foreside, Jeff launched a compliance consulting firm, ComplianceWorks in 2007 and previously as a lead consultant with ComplianceMAX Financial, a large compliance technology firm in San Diego, CA. Jeff was a partner with Helix Investment Partners LLC and Helix Trading LLC, a dually registered investment adviser (hedge fund) and a broker-dealer. In addition to being CCO and CAO of Helix, he was in charge of the production and sale of a corporate bond research product and also traded equities. He holds the Series 24, 4, 7, 55, 63, and 65 designations.