As a securities compliance consultant, Tim brings his combined experience as an industry practitioner and regulator to assist his transfer agent and broker-dealer clients in navigating through the myriad of compliance challenges in today’s regulatory environment. Tim’s experiences have greatly helped his clients because he understands first-hand the challenges of running a business while attempting to stay in compliance with the governing securities laws and rules.
Tim has been a guest lecturer at several Denver area colleges and universities, conducted numerous in-house training classes, and has participated in many compliance round-table discussions addressing pertinent compliance issues and topics.
Tim has an MBA from the University of Colorado and is a Certified Fraud Examiner. Tim is a member of the Securities Experts Roundtable, and also holds several NASD licenses (Series 4, 7, and 63 – currently inactive).