Tom has over 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 widespread experience managing complex regulatory and legal risk for both the brokerage and advisory business.
As Counsel and CCO, Tom’s primary responsibilities include: providing legal advice and guidance to the firm’s executives as it relates to legal and regulatory matters that impact strategic initiatives of the firm; acting as a liaison between the legal and regulatory bodies on regulatory matters; working with the business units to build appropriate regulatory infrastructure to support the firm’s fiduciary duty to the clients; and managing all legal and regulatory matters as they arise.
Tom has a B.S. in Finance with a minor in Economics from the University of Dayton. He also holds his Juris Doctor degree from St. Louis University Law School. 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.
