Thomas J. Lewis, JD
Chief Compliance Officer and Counsel
Tom has over ten year’s legal experience in both litigation and corporate regulatory and legal governance. He spent the first six years of his career in private litigation practice where he managed a large number of complex matters including trying several matters to successful conclusion. During Tom’s time in litigation practice, he was nominated as one of the top young lawyers under 30 locally by SuperLawyers.
More recently, Tom spent several years working as Compliance Counsel at a St. Louis based wirehouse and Chief Compliance Officer and Counsel at another local broker dealer. As a result, Tom has extensive experience managing complex regulatory and legal risk for both the brokerage and advisory business. On the brokerage side, he spent significant time interpreting and guiding the development and implementation of the appropriate policy, procedure and supervisory control infrastructure to multiple business areas including the Investment Banking, Syndicate, Trading, Operational and Advisory departments. He also coordinated responses to regulatory inquiries, sweeps and examination requests which included the negotiation, drafting and preparation of employee statements and interviews with regulators as well as educating regulators on application of regulations to the firm’s business practices. On the advisory side, Tom spent significant time drafting both client-facing disclosures, including the firm’s Part 2A brochures and advisory agreements as well as negotiating agreements with multiple third-party product partners. He also assisted in coordinating and facilitating both the annual regulatory required control testing to assess the adequacy of the investment adviser’s compliance controls and the adviser’s annual due diligence program of its third party managers.
As Chief Compliance Officer and Counsel, he developed supervisory and operational systems and procedures in order to mitigate firm risk through adherence to regulatory rules, guidelines and best practices. He led the firm’s response to SEC and FINRA regulatory audits and inquiries. He managed the firm’s pending arbitrations and performed both oversight and direct review of escalated compliance issues including, but not limited to: the firm’s audit program, outside business activities, private securities transactions, escalated suitability and trading issues, complex products, communications materials, and registration. He acted as the firm’s primary Anti-Money Laundering (AML) officer handling escalated AML issues from the firm’s home office staff, registered representatives and clearing institution.
Tom has a B.S. in Finance from the University of Dayton where he spent time working in the Flyer Investment Center and graduated summa cum laude with a 3.92 GPA. He also holds his Juris Doctor degree from St. Louis University Law School where he graduated in the top third of his class. He is licensed to practice law in both Missouri and Illinois and maintains multiple financial services securities licenses.
Outside of work, Tom enjoys spending time with his wife, Nichole, and their two children, Annabel and Ben. He also enjoys the outdoors and being active. Tom and his family reside in Kirkwood.