Regulatory and Oversight Services

As the securities industry continues to evolve, firms face many challenges fueled by technology, continued development of new products and services, and a changing regulatory landscape. With a primary focus on risk management and controls, The Regulatory and Oversight Services Division’s responsibilities include establishing and overseeing policies and procedures, administering the firm’s supervisory processes, and conducting examinations and reviews.

Compliance

  • Robert Daniel
    Robert Daniel
    Robert DanielAssociate Vice President, Compliance Associate, Surveillance
    Associate Vice President, Compliance Associate, Surveillance
  • Chris Foster
    Chris Foster
    Chris FosterSales and Supervisory Practices Associate
    Sales and Supervisory Practices Associate
  • Lou Howell
    Lou Howell
    Lou HowellAssociate Vice President and Compliance Associate – Surveillance
    Associate Vice President and Compliance Associate – Surveillance
  • Marc Kessler
    Marc Kessler
    Marc KesslerRegulatory Exams/Internal Testing
    Regulatory Exams/Internal Testing
  • Marty Kyler
    Marty Kyler
    Marty KylerCompliance Communications Associate
    Compliance Communications Associate
  • Eric Loy
    Eric Loy
    Eric LoySenior Vice President & Manager – Branch Supervision
    Senior Vice President & Manager – Branch Supervision
  • Peter McCarthy
    Peter McCarthy
    Peter McCarthySenior Vice President and Manager, Regulatory Initiatives
    Senior Vice President and Manager, Regulatory Initiatives
  • Matt Muckler
    Matt Muckler
    Matt MucklerSenior Vice President, Assistant Chief Compliance Officer, Investment Advisory
    Senior Vice President, Assistant Chief Compliance Officer, Investment Advisory
  • Dan O’Very
    Dan O’Very
    Dan O’VeryAssociate Vice President and Team Lead, Compliance Communications
    Associate Vice President and Team Lead, Compliance Communications
  • Bob Patrick
    Bob Patrick
    Bob PatrickVice President, Manager, Sales and Supervisory Practices

    Bob is associate vice president in the sales practice and communications approval areas of the Compliance department at Benjamin F. Edwards & Co. Since joining the firm in 2012, his responsibilities include reviewing communications, branch office inspections, training supervisors and maintaining firm policies and procedures.

    Bob has more than 30 years of experience in the financial services industry, including insurance sales, all areas of operations and compliance. He has worked with insurance companies, options clearing companies and broker-dealer firms.

    Bob has his Series 4, 7, 8, 24, 63 and 65 licenses. He lives in Glen Carbon, IL with his wife, Beth, and four children. Bob enjoys spending time with his family and his hobbies include playing golf, tennis, cycling and reading.

    Vice President, Manager, Sales and Supervisory Practices
  • Jennifer Schultze
    Jennifer Schultze
    Jennifer SchultzeAssociate Vice President, Compliance Employee Activities, Team Lead
    Associate Vice President, Compliance Employee Activities, Team Lead
  • Katelyn Stevens
    Katelyn Stevens
    Katelyn StevensSenior Vice President, Assistant Chief Compliance Officer, Brokerage

    Katelyn joined Benjamin F. Edwards & Co. in 2015 as associate vice president and team leader of Surveillance. She brings over 10 years of industry experience to the firm focused on surveillance with over five of years at FINRA as a Trading and Market Making Surveillance Compliance Examiner. Katelyn spent the last five years implementing a new trade surveillance system and creating surveillance reports.

    She holds her Series 7, 9/10, 24, and 66 licenses. Outside of work, Katelyn likes to spend time with her husband, three children and two French Bulldogs.

    Senior Vice President, Assistant Chief Compliance Officer, Brokerage
  • Lisa Davis
    Lisa Davis
    Lisa DavisAssociate Vice President, Branch Supervision Specialist
    Associate Vice President, Branch Supervision Specialist
  • Colleen Johnson
    Colleen Johnson
    Colleen JohnsonVice President, Branch Supervision Associate

    When Colleen Johnson came aboard with Benjamin F. Edwards & Co. in 2008, she brought with her decades of experience earned as a branch operations trainer at A.G. Edwards, a firm she joined in 1981.

    Today, she applies that knowledge as she helps transferring managers and financial advisors with the transition process, providing training on a variety of day-to-day aspects of the business. At the same time, she ensures adherence to the firm’s established operational procedure and also assists financial advisors with questions and troubleshooting every day.

    She currently holds her Series 7, 9/10, and 63 licenses.

    Vice President, Branch Supervision Associate
  • Julie McCallister
    Julie McCallister
    Julie McCallisterVice President, Senior Branch Supervision Specialist

    Julie is associate vice president and branch manager supervision administrator of Branch Services at Benjamin F. Edwards & Co. Joining the firm in 2011, Julie is responsible for sales practices and activities of the firm’s producing branch managers.

    With over 25 years of financial services industry experience, Julie has held positions as branch operations supervisor, margin clerk, and branch operations trainer where she provided branch office support by opening new branch offices as well as personnel training in existing offices. More recently, she was a special projects administrator where she produced various reference materials for branch personnel, assisted branch managers with training and managed the advisor retirement transition.

    She holds the Series 7, 9/10, and 63 licenses. Outside of work, Julie likes to stay active, enjoys traveling and cooking.

     

    Vice President, Senior Branch Supervision Specialist
  • Michele Tanner
    Michele Tanner
    Michele TannerBranch Supervision Associate
    Branch Supervision Associate
  • Chris Trovitch
    Chris Trovitch
    Chris TrovitchBranch Supervision Associate
    Branch Supervision Associate
  • Julie Wilson
    Julie Wilson
    Julie WilsonVice President, Branch Supervision Specialist

    Julie is vice president and branch manager supervision administrator of Branch Services at Benjamin F. Edwards & Co. Joining the firm in 2012, Julie is responsible for sales practices and activities of the firm’s producing branch managers.

    With over 30 years of experience in the financial services and banking industries, Julie has held positions as assistant branch manager and client associate.

    She holds her Series 7, 9, 10, 66, and insurance licenses. Outside of work, Julie likes to spend time with her family — especially her two granddaughters. She also enjoys reading and traveling.

    Vice President, Branch Supervision Specialist