Fred is a financial executive with extensive experience across the full-service broker-dealer, clearing, and registered investment advisory industry; he joined the firm in 2022.
He has served as CFO of SA Stone Wealth Management, Divisional Controller of StoneX Financial, Executive Vice President and CFO of both Sterne Agee Financial Services and Sterne Agee & Leach, and Managing Director and Controller of Wachovia Securities, and began his career in the audit practice at Ernst & Whinney – a career spanning both large institutional firms and independent wealth management platforms. His expertise encompasses pre- and post-merger financial management from both buy and sell side perspectives, net capital computations, regulatory filings, financial statement preparation, commission payout system development and implementation, incentive compensation design, and SOX and external audit management.
Fred holds a Bachelor of Science in Accounting from the University of North Carolina at Charlotte, is a Certified Public Accountant in North Carolina, completed the Securities Industry Institute Program at the Wharton School, and maintains a Series 27 (Financial and Operations Principal) license
