I began my career as an Examiner for the NASD (now known as FINRA). I quickly stood out by consistently doing my work efficiently, often completing my entire year's examination work by July. This commitment and dedication followed me as I transitioned to the industry side, where I started helping firms comply with the same rules I once enforced.
Throughout my career, I’ve served as the Chief Compliance Officer for multiple firms, initially with Broker/Dealers and later with Investment Advisers, broadening my experience and expertise. In 2009, about two-thirds of the way through my career, I discovered consulting and have been engaged in it ever since. In 2013, I became an entrepreneur and founded DNM Consulting, LLC, to focus on providing compliance support services to both Investment Advisers and Broker/Dealers.
Along with extensive on-the-job training, I earned my MBA in Finance from the University of Texas at Arlington and my BBA from the University of Texas at San Antonio. I also completed the Certified Regulatory and Compliance Professional (CRCP) certification from the Wharton School of Business and FINRA. I am an active member of the National Society of Compliance Professionals (NSCP) and have passed numerous licensing examinations throughout my career, including the Series 4, 7, 24, 51, 53, 55, 63, 66, and 99.
Most importantly, I am a dedicated father to my four kids and two dogs, and I work very hard to be fully present with them whenever I am with them.
I’m also very active at New Hope Church, where I lead two men’s Life Groups and am involved in the Prayer ministry. I’ve been engaged in homeless ministry for years and find great fulfillment in serving those in need. Additionally, I’ve traveled to Haiti on numerous mission trips over the years.
I’m an avid reader, balancing my love of military fiction with a passion for spiritual learning and study.
Some Fun Facts About Me
- I do not take business calls when I’m with my kids. Full stop
- I’ll determine in 2024 whether it is more stressful to have three kids in college at same time than it was to have them in diapers at the same time
- I’m a huge movie fan, especially anything by Quentin Tarantino (except Death Proof). Reservoir Dogs, The Shawshank Redemption, Tombstone and the Professional constantly battle for favorite movie crown
- I often joke that while I believe in small government, my entire career is built upon that fact that it doesn’t exist
I began my career as an Examiner for the NASD (now known as FINRA). I quickly stood out by consistently doing my work efficiently, often completing my entire year's examination work by July. This commitment and dedication followed me as I transitioned to the industry side, where I started helping firms comply with the same rules I once enforced.
Throughout my career, I’ve served as the Chief Compliance Officer for multiple firms, initially with Broker/Dealers and later with Investment Advisers, broadening my experience and expertise. In 2009, about two-thirds of the way through my career, I discovered consulting and have been engaged in it ever since. In 2013, I became an entrepreneur and founded DNM Consulting, LLC, to focus on providing compliance support services to both Investment Advisers and Broker/Dealers.
Along with extensive on-the-job training, I earned my MBA in Finance from the University of Texas at Arlington and my BBA from the University of Texas at San Antonio. I also completed the Certified Regulatory and Compliance Professional (CRCP) certification from the Wharton School of Business and FINRA. I am an active member of the National Society of Compliance Professionals (NSCP) and have passed numerous licensing examinations throughout my career, including the Series 4, 7, 24, 51, 53, 55, 63, 66, and 99.
Most importantly, I am a dedicated father to my four kids and two dogs, and I work very hard to be fully present with them whenever I am with them.
I’m also very active at New Hope Church, where I lead two men’s Life Groups and am involved in the Prayer ministry. I’ve been engaged in homeless ministry for years and find great fulfillment in serving those in need. Additionally, I’ve traveled to Haiti on numerous mission trips over the years.
I’m an avid reader, balancing my love of military fiction with a passion for spiritual learning and study.
Some Fun Facts About Me
- I do not take business calls when I’m with my kids. Full stop
- I’ll determine in 2024 whether it is more stressful to have three kids in college at same time than it was to have them in diapers at the same time
- I’m a huge movie fan, especially anything by Quentin Tarantino (except Death Proof). Reservoir Dogs, The Shawshank Redemption, Tombstone and the Professional constantly battle for favorite movie crown
- I often joke that while I believe in small government, my entire career is built upon that fact that it doesn’t exist