As Managing Director, Head of Branch Supervision, Al is responsible for the oversight and implementation of an effective compliance program to prevent illegal, unethical, or improper conduct, and monitoring and reporting results of the program. Al provides guidance on matters relating to reporting and compliance and ensures compliance with the rules and regulations of the firm and the securities industry. He also oversees all regulatory audits and inquiries. Al has over 20 years of experience in compliance leadership roles.
Albert Johnson
“We are partners with advisors in understanding and adhering to industry regulation. We ensure our firm and by extension, advisors, are employing compliance best practices in all aspects of regulatory requirements.”
