As the Director of Compliance, Jorome's primary focus is to keep the firm's overall business operations in full compliance. He will be working closely with the Executive team on all firm initiatives and be the in-house compliance resource for the organization.
Jorome began his career in finance with PaineWebber during college where he worked as an assistant and supported their retail brokerage clients. He then went on to work in the Compliance and Supervision divisions of both small and large regional and international broker-dealers, banks, and financial firms including LPL Financial, Charles Schwab, Franklin Templeton, and First American Title. Jorome has experience in branch office supervision, oversight, and managing annual compliance requirements.
When Jorome is not working, he enjoys watching his daughter participate in soccer and track & field activities, rooting for the Cardinals, learning to play golf and volunteering on various boards or planning committees in the St. Louis and St. Charles communities. Jorome currently resides in St. Charles, MO.
Bachelor of Arts, Economics - California State University, Sacramento
Master of Arts, Training/Teaching in a Global Context - National University, San Diego