Thomas J. Lewis, JD
Chief Compliance Officer and Counsel
Tom has 15 years of 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.
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.
As Chief Compliance Officer and Counsel, Tom’s primary responsibilities include: acting as a liaison between the legal and regulatory bodies on compliance issues; working with the business units to build appropriate regulatory infrastructure to support the firm’s fiduciary duty to the clients.
Tom has a B.S. in Finance from the University of Dayton. 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.