Expertise
Trusts, Estates, Standard of Care. Fiduciary Duty. Trustee Duty. Due Diligence. Conflicts of Interest. Private and Corporate Trustees.
RIA, Broker Dealer, Reg BI, Accredited Investor, Portfolio Construction, Special Entities, Wealth Office.
Case Strategy. Complex Transactions, Situations. Practice, Protocols, Regulations. Intra-Industry Analysis. Employment Disputes. Client Complaints, Sales Practices.
Suitability. Asset Allocation. Wealth Management. Oversight, Supervision, Misrepresentations, Omissions. Specialty & Closely Held Assets. Crypto.
Risk Management. Internal and External Fraud, Defalcation. Fraud Investigation. Ponzi Scheme. Criminal Activity. Reputational Risk.
Private Banking. Retail Banking. Commercial and Business Banking. Lending. Cash Management. 1031 Exchange, TIC, DST and QOZ. Closely Held Assets. Real Estate. Fractional Ownership. Business Interests.
International.
FINRA, OCC, DFPI
CTFA & CFE.
(For search purposes, not intended to be a comprehensive list)
Expertise
Trusts, Estates, Standard of Care. Fiduciary Duty. Trustee Duty. Due Diligence. Conflicts of Interest. Private and Corporate Trustees.
RIA, Broker Dealer, Reg BI, Accredited Investor, Portfolio Construction, Special Entities, Wealth Office.
Case Strategy. Complex Transactions, Situations. Practice, Protocols, Regulations. Intra-Industry Analysis. Employment Disputes. Client Complaints, Sales Practices.
Suitability. Asset Allocation. Wealth Management. Oversight, Supervision, Misrepresentations, Omissions. Specialty & Closely Held Assets. Crypto.
Risk Management. Internal and External Fraud, Defalcation. Fraud Investigation. Ponzi Scheme. Criminal Activity. Reputational Risk.
Private Banking. Retail Banking. Commercial and Business Banking. Lending. Cash Management. 1031 Exchange, TIC, DST and QOZ. Closely Held Assets. Real Estate. Fractional Ownership. Business Interests.
International.
FINRA, OCC, DFPI
CTFA & CFE.
(For search purposes, not intended to be a comprehensive list)
With over 35 years of experience in the financial services profession, I am the Owner of Esoteric Advisors, a collaborative consulting and expert witness firm dedicated to cultivating a robust and extensive collegial network of fellow experts and professionals. This practice specializes in unique areas within financial services.
Additionally, I serve as the Founder, Owner, and Chief Compliance Officer of Wealth Innovation, a boutique Registered Investment Advisor firm. We manage and advise upon various types of investment portfolios.
Previously, I held leadership roles as an District Manager and then Wealth Manager at a Fortune 500 financial services company. There, I collaborated with several leaders across various business lines to establish a unique hybrid Montecito Wealth office. My responsibilities spanned overseeing risk management, human resources, public relations, and corporate leadership.
I am committed to upholding the highest standards of compliance, legal integrity, and creditworthiness in both professional and personal matters. Additionally, my background includes extensive experience in public speaking, competitive speech and debate, and decades of public and professional presentations.
I have been admitted as an expert witness in court, submitted court-admitted written affidavits, and have been designated as an expert in FINRA 20-day arbitrations.
Licenses and Certifications:
Series 7TO (through the FINRA MQP program) and Series 66 - Practicing Investment Advisor Representative.
California Licenses: Real Estate, Health, Life, and Disability
Certified Trust and Fiduciary Advisor, CTFA.
Certified Fraud Examiner, CFE.
Professional Affiliations:
Member and Board Member, Association of Certified Fraud Examiners (ACFE), local chapter
Voting Member, Securities Experts Roundtable (SER)
SER Voting Member
