Compliance that supports growth, not slows it.

I started Summit Compliance LLC after more than two decades inside broker-dealers, including senior compliance roles at Goldman Sachs Custody Solutions, Folio Investments, and, most recently, as Chief Compliance Officer of ETC Brokerage Services. That experience covers both ends of the compliance function: the high-stakes work of FINRA exams and regulatory inquiries, and the foundational work of building AML programs, supervisory systems, and written supervisory procedures. I know what regulators ask for, what they actually want to see, and where firms tend to come up short.

I hold the Series 7 (General Securities Representative) and Series 24 (General Securities Principal) registrations, and I am a Certified Anti-Money Laundering Specialist (CAMS) and a Certified Fraud Examiner (CFE). These credentials anchor the AML, financial crime, and supervisory work that runs through most of the engagements I take on.

That experience now goes to work for my clients. Summit Compliance serves broker-dealers and registered investment advisers that need senior compliance judgment without carrying the full cost of a large in-house team.