Our Executive Team
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.
Founding Member - Chief Operating Officer
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.
Founding Member - Chief Executive Officer
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.