Aaron is a Compliance Officer with over 25 years of experience in the financial services industry, with a background spanning Institutional Operations, Wealth Management, and Compliance Supervision. In his current role, he focuses on implementing the firm’s advisory branch examination program.
Aaron holds a Bachelor of Business Administration with a concentration in Finance from Fordham University. He also maintains FINRA Series 7, 24, 52, 63, and 66 licenses, as well as a State of Texas insurance license.
A Houston, Texas native, Aaron currently resides in his hometown. Outside of work, he enjoys spending time with family and friends, watching college football, playing golf, and exploring documentaries.




