Frank is a senior member of our compliance group and is an active participant on our firm’s Compliance Committee. In addition to serving as a chief compliance officer to our clients, Frank works with a wide variety of clients to ensure their compliance programs are implemented, maintained and monitored.
Frank has over 20 years of experience with a variety of firms, including Prudential Financial and Guardian Life Insurance. Most recently, Frank was the Chief Compliance Officer of Pruco Securities, LLC, a dually registered broker-dealer and investment advisor, supporting Prudential Financial’s retail organization. Prior to this role, Frank was the Head of Supervision at Guardian Life Insurance and its dually registered broker-dealer, Park Avenue Securities, LLC.
Frank earned a B.A. in Criminal Justice and an MBA from DeSales University. He has earned the Chartered Life Underwriter (CLU®) and Chartered Financial Consultant (ChFC®) designations from The American College, and the Certified Regulatory and Compliance Professional (CRCP) from the FINRA Institute at Wharton, University of Pennsylvania. Additionally, he has obtained the following FINRA registrations: Series 7, 24, 51 and 66, as well as his Pennsylvania Life and Health license.
During his time away from CCS, Frank enjoys spending time with his wife and three children. He is diehard Philadelphia Eagles and Sixers fan, an avid mountain biker, and likes to spend downtime at the beach with his family.