Charles first ventured into the Financial Services industry in 1997 when he worked as a Financial Advisor for Dean Witter. Charles enjoyed almost two decades of success on the retail side of the business with Dean Witter, as well as a few other firms, even while he transitioned to Compliance in 2010. Charles’ years of experience as an Advisor, coupled with his years of experience on the compliance side, have prepared him well for his current role of Chief Compliance Officer. In his spare time, Charles enjoys traveling, the mountains, and spending time with family and friends.
Chief Compliance Officer