Fred Newell

Director of Operations

Senior Compliance Officer

Senior Compliance Officer

“I offer a bit of a backbone to our business by overseeing operations and providing compliance processes. I want our clients to rest assured that our business abides by the fiduciary standard, and complies with all legal requirements for our industry.”

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Fred works hard, every day, to offer guidence and instruction to our represenatives and affiliates. He helps them determine what needs to be filed and where. More than that, he is responsible for scrutinizing the construction of different accounts, making sure that everything is done properly and according to proper standards. Internally, he also provides the business with compliance oversight.

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