Our experienced compliance team understands your business.
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.
Our team of consultants bring decades of experience working with Investment Advisers, Broker Dealers, Hedge Funds, and Insurance Companies.
Cathy brings more than 25 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 Masters of Business Management degree. She 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 27 years of experience in software sales and development, sales management, marketing, and operations, Stephen’s consultative approach is well-suited to working with independent advisers.
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. He is also well-versed on the latest cutting-edge technology in the financial industry.
Stephen has a Masters of Business Administration degree. He is a member of the National Society of Compliance Professionals; a former member of the Project Management Institute; has both Microsoft and IBM technical certifications; and formerly held a FINRA Series 7.
Founding Member - Chief Technology Officer
Rick has more than 25 years of experience leading enterprise software development and commercial software initiatives and is a key part of Red Oak’s AdMaster Compliance application.
Most recently, Rick was the Director of Hadoop/Big Data Solutions for Dell. Prior to Dell, 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 also 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. Prior to that, Rick was a Managing 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.
Senior Consultant and Audit Manager
Steven acquired thirteen years of experience as an RIA and broker/dealer regulator prior to joining Red Oak. Steven began his financial services career as a financial examiner for the Texas State Securities Board in March 2000 and became one of their lead examiners (Financial Examiner IV). In this role, Steven 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. Upon leaving the SSB, Steven was Director of Compliance for an adviser in Austin, Texas.
At Red Oak Compliance, Steven utilizes the skills and knowledge obtained through his years as a Financial Examiner with the TSSB to assist Red Oak’s clients with their compliance programs through ongoing compliance reviews, document management and conducting onsite audits.
Steven has a Bachelor of Business Art degree from the University of Texas at Austin and is currently studying to pass the Series 65 exam.
Consulting Services Director
Monet has a diverse array of compliance and legal experience. She began her career as an associate attorney at a large law firm where she practiced torts and insurance law. She then served as Director of Investment Operations for Northwestern Mutual Financial Network – Kentucky & Southern Indiana Group. She later worked for a broker-dealer as a member of their Legal Review team. In that role, she reviewed and approved the opening of the firm’s trust and estate investment accounts as well as the addition of Powers of Attorney onto investment accounts.
In her role at Red Oak, Monet provides registration and consulting services for RIAs and broker-dealers. She also provides audit support and other ad-hoc compliance services for our clients. In addition, Monet works closely with the entire Red Oak team to ensure that we provide the highest level of customer service to all our clients.
Monet holds a J.D. (cum laude) from the University of Illinois College of Law, a Bachelor of Science degree (summa cum laude) from the University of Louisville and is studying to pass the Series 65 exam.
Randy brings 17 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. He helped create policies and procedures for the implementation and use of websites and social media for the 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.
David brings over 9 years of financial services industry experience. He began in operations and more recently spent the last 5 years as a compliance analyst for an independent broker/dealer and RIA where he reviewed advertising, was the non-cash compensation and marketing reimbursement principal, and assisted with regulatory inquiries and investigations. David most recently spent the last year as an RIA compliance analyst overseeing the quarterly personal securities transaction report, reviewing prohibited investments and recently closed managed accounts, rep-billed fees, and non-IAR compensation.
David holds the FINRA series 6, 7, 63 and 24 licenses as well as the Texas Group 1 insurance license.
Scotty brings over 10 years of financial services industry experience. Prior to joining Red Oak, he spent the 3 years managing a processing team for an independent broker/dealer and RIA. In that role, he managed a team of over 20 people responsible for opening brokerage accounts, processing transfer of assets, and the ongoing maintenance of new accounts and features.
Scotty holds the FINRA Series 7 and 24 Licenses.
Stephanie brings over 12 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 Masters of Business Administration degree and FINRA Series 7 and 24 licenses.
Susie brings 30 years of accounting experience with small and medium size businesses as well as publicly traded companies, with over 10 years in the software and services industry. Her wealth of knowledge and customer service attitude make her a great fit with the Red Oak team.
Cierra provides general office support including reception and bookkeeping assistance. She has an energetic and outgoing personality, making her an excellent fit with the Red Oak team.