Our Services Team
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 the National Society of Compliance Professionals, and a Compliance and AML Professionals member. She has FINRA Series 7, 24, 26, 63, and Life and Health licenses.
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 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 Arts degree from the University of Texas at Austin and is currently studying to pass the Series 65 exam.
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.
Joshua began his career as a legal clerk at a large law firm that practiced personal injury, medical malpractice, and bankruptcy law. He then worked in quality assurance for a fortune 500 insurance company, ensuring compliance with state and federal regulations.
In his role at Red Oak, Joshua provides registration and consulting services for RIAs. He also provides audit support and other ad-hoc compliance services for our clients. In addition, Josh works closely with the entire Red Oak team to ensure that we provide the highest level of customer service to all our clients.
Joshua holds a Juris Doctorate from the University of Richmond School of Law, a Bachelor of Arts degree from the University of Texas at Austin, and the FINRA Series 65 license.
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 implementing and using 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 and the Texas Group 1 insurance license.