Michael joined the firm in 2018 with more than twelve years of experience as a Compliance and Regulation professional. Prior to joining the team, he worked as a Compliance, Legal and Risk Examiner at LPL Financial, reviewing business and client activity, and conducting compliance exams of company advisors and outside RIAs. Before transitioning to this position at LPL Financial, Michael worked as a Compliance Officer at Raymond James and Associates and held various positions as a regulator at the National Stock Exchange. Originally from Chicago, IL, he moved to Tampa, FL in 2009 and currently resides in Milwaukee, WI.
- Examiner, Compliance, Legal and Risk at LPL Financial
- Compliance Advisor, PCG Compliance at Raymond James and Associates
- Senior Examiner at National Stock Exchange, Inc.
- Market Analyst at National Stock Exchange, Inc.
- Specialist at Rock Island Equity Market Services, Inc.
Education & Credentials
- BBA, Loyola University Chicago, Information Systems
- Series 7, 24, 51, 63 and 66 licenses