Publications

• Navigating Reg BI: The Crypto Conundrum

RIA, Broker Dealer, Trusts, Fiduciary & Banking

Specialties & Experience of this Expert Witness

Additional Information

With over 35 years of experience in the financial services industry and as an entrepreneur, I have founded consulting firms serving both consumers and businesses. I am currently the Chief Compliance Officer, and Owner of Wealth Innovation, a boutique Registered Investment Adviser firm. I am the President and Owner of Esoteric Advisors, a collaborative consulting and expert witness firm dedicated to fostering a robust and extensive collegial network of fellow experts in the financial services sector. We specialize in expert knowledge within and about financial services. Previously, as a Region Manager and then Wealth Manager at a Fortune 500 financial services company, I collaborated with several leaders across various business lines to establish a unique hybrid Montecito Wealth office. My responsibilities included overseeing risk management, human resources, public relations, and corporate leadership. I am committed to maintaining the highest standards of compliance, legal integrity, and creditworthiness in both business and personal matters. Additionally, I have a strong background in public speaking, with experience in competitive speech and debate as well as decades of public and professional presentations. I have been admitted to court as an expert Witness and to FINRA arbitration disclosure panel. Hold Series 7, through the FINRA MQP program and 66 as an IAR of my RIA. Practicing Investment Advisor Representative. California Real Estate, Health, Life, and Disability Licenses. Voting Member of the Securities Experts Roundtable (SER). Board of Director and Treasurer of Kauai Planning and Action Alliance (KPAA). Member of Association of Certified Fraud Examiners and board member of local chapter (ACFE).