Director of Compliance at RIA in a Box
Chad has spent well over twenty five years in the financial services industry in many different roles. The majority of that time was spent as the Securities Examination Manager for the State of Michigan where he supervised and managed the examination program of investment advisers as well as broker- dealers. As an active member of NASAA, he worked with other regulators on investigations, project groups, and training of other examiners. Prior to that, he worked in compliance and supervision of various investment advisers and broker-dealers. For the last nine years Chad has worked for RIA in a Box in a compliance consulting role. Chad is a graduate of Michigan State University.