FINRA Series 7, 24, and 79; 30 years of experience in the financial-services and securities industries.
At Exemplar
Serves as Exemplar’s internal deal-compliance principal and officer.
Works closely with the executive team to strengthen supervision, firm policies, governance, and FINRA-related broker-dealer operations.
Supports alternative-investment distribution.
Sources private-placement capital.
The Real Me
I have been married to the same wonderful woman for nearly 40 years and am a proud parent to several four-legged family members. I am an avid golfer and enjoy fine wine, single-malt Scotch, and premium cigars. I am also a proud Clemson Tiger.
