- FINRA arbitrator
- Series 7, Series 24, Series 65, and Series 66.
- How to comply with new and changing rules for registered investment advisors.
Bryan Hill, J.D., says registered investment adviser firms are facing greater scrutiny than ever from the U.S. Securities and Exchange Commission.
Bryan Hill a investment adviser compliance specialists, RIA Compliance, you will be able to alert the compliance challenges facing investment adviser and the best practices to avoid deficiencies by U.S. Securities and Exchange Commission. He can help you to deliver investment advisory services that meet your firm’s regulatory obligations as a registered investment advisor.
He specifically led the development of an investment advisor compliance practice group that served numerous independently registered investment advisors. His more tactical experiences include leading a team of compliance professionals that supervised the activities of 1,400 registered representatives and investment advisor representatives across the country. Serving as in-house legal counsel to a financial services company, Bryan prepared defenses to securities arbitrations, interpreted broker-dealer and investment advisor regulations, and handled regulatory investigations. These various roles within the securities industry make Bryan especially adept at understanding the challenges facing registered investment advisors and providing compliance advice that considers different perspectives.