Bill is the Executive Vice-President, Director of Regulatory & Oversight Services at Benjamin F Edwards. His primary responsibilities include overseeing the firm’s compliance, supervision, registration, regulatory initiatives, and examination programs. He governs the firm’s written supervisory procedures, retail communications, and branch office inspections for compliance with industry regulations.
Bill has been instrumental in establishing the firm’s compliance curriculum since joining the firm in 2009, and continues to develop risk management practices as the industry evolves. He is uniquely positioned to offer insight in these critical areas, having spent more than 35 years in the financial services industry including a long tenure at A.G. Edwards & Sons, Inc. Bill’s prior roles include insurance and annuity marketing, compliance, supervision, and business processes. He holds FINRA Series 4, 7, 9, 10, 14, 24, 53, 63 and 65 securities licenses.
Bill is a graduate of Webster University with a Bachelor of Arts degree in Education and Music. He holds numerous registrations, is a recipient of the FINRA Institute/Wharton School Certified Regulatory & Compliance Professional (CRCP) designation, and served as a member of the Municipal Securities Rulemaking Board (MSRB) Professional Qualifications Advisory Committee.
Bill is a musician and enjoys woodworking. Had he not pursued a career in financial services, you most likely would find him teaching music. In his free time, he enjoys spending time with his wife, three children and three grandchildren.