Dean’s 30-plus years in financial services span compliance leadership, institutional sales and trading, and back office and clearing operations; he joined the firm in 2021.
He has served as Chief Compliance Officer for large, mid-sized, and small broker-dealers, registered investment companies, and investment advisers leading strategic compliance program development, supervising trading operations, managing regulatory examinations, and guiding firms through complex transitions, including the conversion of a broker-dealer to an investment management firm. Most recently, Dean served as CCO and Vice President at M Holdings Securities, M Financial Investment Advisors, M Fund, and M Wealth, and previously as Partner, CCO, and Director of Trading at Sterling Investment Services. At CRC Oyster, he provides CCO support; conducts annual reviews, mock audits, and gap analyses; and advises broker-dealers and investment advisers on Regulation Best Interest, AML, cybersecurity, business continuity, and continuing education programs.
Dean holds a Bachelor of Science from the College of Commerce at DePaul University and holds FINRA Series 7, 24, and 63 registrations.
