Mark 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, Mark works with a wide variety of clients to ensure their compliance program is implemented, maintained and monitored.
Mark has over 20 years of experience in the financial services industry. Prior to joining CCS, Mark was a senior compliance manager with Capital One supporting its 401(k) Services and Digital Guidance & Advice programs. Mark also held multiple positions with Morgan Stanley including CCO for its Global Investment Solutions UIT series. During his career, Mark has served as a FINRA analyst in both the Advertising Regulation and Market Regulation divisions, in which he managed numerous regulatory investigations.
Mark earned a B.S. in political science from Towson University in Maryland. He has obtained the following FINRA licenses: Series 7, 9, 10, 24, 66 and 87.
In his spare time away from CCS, Mark enjoys spending time with his wife and daughter. He also enjoys golfing, kayaking and volunteer work.