Dan Roberts currently serves as a Chief Compliance Officer, Compliance Director, Options Principal, Municipal Principal and Securities Principal for Broker/Dealers, Registered Investment Advisors, and Municipal Advisors.

He has over 25 years industry experience that includes an in-depth knowledge of financial products and services through review and approval of annuities, mutual funds, stocks, bonds, options, brokerage accounts, advisory accounts, and subsequent risk quality review. He has extensive experience in back-office operations, compliance and supervision departments.

Prior responsibilities include OSJ and Branch office compliance and supervision surveillance functions, risk reporting and analysis, WSP and AML Manual Editing, auditing, continuing education administration, Form BD and Form ADV maintenance, advertising and correspondence review, and staff management.