Whether you are a new start-up or a seasoned veteran who understands that compliance risks can jeopardize your firm, our experienced professional team is ready and able to protect you.
Cathy brings more than 23 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker-dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations.
Cathy has a Master of Business Management degree; is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.
Stephen brings a wealth of experience in developing mission critical software applications for the financial services industry. With over 25 years of experience in software sales and development, sales management, marketing, and operations, Stephen's consultative approach is well-suited to working with independent advisors.
Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. He is an entrepreneur who has owned several successful start-ups and has vast experience in project management and client relationship building. Stephen is well versed on the latest cutting-edge technology in the financial industry.
Stephen has a Master of Business Administration degree; is a member of the National Society of Compliance Professionals; a member of the Project Management Institute; has both Microsoft and IBM technical certifications; and has a FINRA Series 7.
Rick has more than 20 years of experience leading enterprise software development and commercial software initiatives and is a key part of Red Oak's AdMaster Compliance application.
Rick served as a Director of Software Engineering for Initiate Systems which became the leading provider of master data management (MDM) solutions for the healthcare, government, enterprise, and financial services industries. Initiate Systems was acquired by IBM in March 2010. Rick served as a consulting technical architect at Sony Pictures Entertainment where he led the technical implementation of a large scale global application which handled all of Sony’s global rights asset management. Rick was also Principal Consultant for Computing Information Services which was a leading best-of-breed vendor of ERP software for the publishing industry.
Rick is a patent holder and has a Masters of Science degree in Engineering Management from SMU with a secondary emphasis in Operations Research and Mathematics.
Ivan brings over six years of experience as an RIA and broker-dealer regulator prior to joining Red Oak. Ivan began his financial services career as a financial examiner for the Texas State Securities Board and eventually became the state’s lead examiner (Financial Examiner III). In this role Ivan gained extensive auditing knowledge and experience from conducting compliance audits of RIA and broker-dealer firms in the state; and from participating in NASAA, SEC and FINRA events.
Ivan has a Master of Public Administration and a Bachelor of Business Administration degree. He is currently studying to pass the Series 65 exam and to attain the Certified Fraud Examiner (CFE) designation. He is a member of the Association of Certified Fraud Examiners and a member of the Institute of Internal Auditors.
Randy brings 15 years of financial services industry experience. He began in operations and more recently spent the last 8 years as a compliance analyst for an independent broker-dealer and RIA where he reviewed advertising, helped with regulatory inquiries and investigations, was the political contributions principal, and helped create policies and procedures for the implementation and use of websites and Social Media for Securities and Advisory business.
Randy is a former U.S. Marine, a graduate of St. Edwards University, and he holds the FINRA Series 7, 66, and 24 licenses. He formerly held the Texas Group 1 Insurance license.
Karin brings over 11 years of compliance and supervisory expertise in Registered Investment Advisers and broker/dealers. Karin served as the Director of Investment Advisory Compliance for NFP Securities where she was responsible for over 800 investment advisors. Prior to that Karin served as the Director of Sales Supervision where she supervised over 80 OSJs for branches responsible for more than 900 registered representatives.
Karin has the Investment Adviser Certified Compliance Professional (IACCP) designation and FINRA Series 7, 66, 24, 51, 53 licenses. She previously held a Texas Group 1 Insurance license.
Ron has a background in legal research having previously worked for the Jeff Davis Law Firm and then briefly serving as the assistant general counsel for the Texas Board of Nursing. Prior to that Ron worked at a subsidiary of One West Bank in Austin where he was exposed to financial services compliance. Ron had envisioned becoming an environmental attorney while in school however after some real world experience he decided to focus on financial services compliance. Ron primarily supports Cathy in her work and is fast becoming an expert in RIA regulations.
Ron has Juris Doctor, Master of Science, and Bachelor of Arts degrees. He was admitted to the State of Texas Bar in 2009 and worked in the legal field until joining Red Oak where he now practices broker-dealer and registered investment advisor compliance. Ron is currently studying to take the Series 65 exam.
Stephanie brings over 10 years of compliance and supervisory experience. She served as Director of Operations at New England Financial where she was the designated principal responsible for over 50 producers. She began her career at Prudential as a New Business Analyst.
Stephanie has a Master of Business Administration degree and FINRA Series 7 and 24 licenses.
Mari brings over 12 years of investment industry experience including compliance and supervisory expertise with Registered Investment Advisers and Broker/Dealers. Mari served as a senior compliance advertising analyst for an independent broker/dealer and RIA where she worked with 1,900 producers and a very wide range of products. She began her career at AIM Funds.
Mari has a Bachelor of Science degree and FINRA Series 6, 7, 66 and 24 licenses. Mari is fluent in English and Spanish.
Amy brings over 20 years of financial services industry and administrative experience including serving as Chief Compliance Officer for a registered Hedge Fund, Ancient Art, L.P. Prior to Ancient Art, Amy served in the Austin Independent School District's newly established Bond Program Management Office to provide administrative support to the Assistant Director and Project Managers.
Amy has a Bachelor of Arts in Organizational Communication; is a member of the National Society of Compliance Professionals (NSCP) and coordinates the Austin NSCP Compliance Roundtable.
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