John is a senior compliance executive with over 40 years of experience in the securities industry. John has led compliance and legal functions at major institutions with a focus on Regulatory Affairs in relation to Broker-Dealer Wealth Management, Investment Advisory and other Capital Markets and Fixed Income businesses. He also has extensive experience interacting with regulators, supervisory programs including selling away cases, dually-registered and independent channels, Reg BI, related fiduciary and DOL regulations, product due diligence, and FINRA and SEC Examination and Enforcement priorities and investigations.
In previous roles, he held executive Compliance positions in firms including Raymond James & Associates Inc., Bank of America Merrill Lynch, and Janney Montgomery Scott, LLC and Goldman Sachs. Earlier in his career, he served in Compliance roles at First Union Securities (predecessor to Wells Fargo Advisors) and was an Enforcement Attorney for the Unites States Securities and Exchange Commission.
John received his BA from the University of Virginia and his JD from the University of Richmond.
Mr. Ivan currently holds the Series 9, 10, 24, securities industry licenses. He previously held the Series 14 & 65 securities industry licenses.
SER Voting Member