Brad Stark

Image for Brad Stark

Chief Compliance Officer

As the Chief Compliance Officer, my focus is to maintain the firm’s culture of compliance. Some of my responsibilities include preparing and filing regulatory documents, providing regulatory research updates to management, updating internal policies and procedures, identifying potential risks to the firm, and developing process controls. In addition, I process invoices, help maintain the firm’s internal systems and assist the Investment Team with various projects.

Career History

  • Bedel Financial Consulting, Inc., Chief Compliance Officer
  • Charles Schwab & Co., Investment Representative and Project Manager
  • Graydon Compliance Solutions. LLC, Compliance Consultant
  • SunAmerica Securities, Compliance Manager

Education

  • Bachelors of Science, Indiana University, Purdue University of Ft. Wayne

BLOG POSTS