Jason 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, Jason works in our practice development group – engagement quality assurance program. He is also our firm’s centralized marketing reviewer for our clients.
Jason is an experienced lawyer and compliance professional with nearly 20 years’ experience working in the financial services industry. Prior to his tenure at CCS, he served as chief compliance officer of TD Ameritrade, Inc.’s registered investment adviser while also providing compliance guidance for the company’s institutional business. He also provided compliance and regulatory services at Hornor, Townsend & Kent, Inc., and its parent, The Penn Mutual Life Insurance Co. Jason started his career as a securities litigator in private practice, specializing in regulatory arbitrations and investigations.
Jason is a cum laude graduate of Colgate University and graduate of The Villanova University School of Law. He has obtained the following FINRA licenses: Series 7, 24 and 63.
During his time away from CCS, Jason enjoys spending time with his wife and three children, whether taking in their sporting events or spending time at the Jersey Shore in the summer.