Glenn has spent over 20 years in the securities industry with extensive expertise in broker-dealer and RIA compliance and risk management; he joined the firm in 2022.
His career spans compliance roles across a wide range of firm types and sizes – Senior Compliance Officer at World Equity Group, Compliance Supervisor at MPS-LORIA Financial Planners, and Vice President and District Risk Officer at Morgan Stanley – giving him a well-rounded perspective on how compliance programs operate in practice across different business models. His work covers compliance program development and maintenance, written supervisory procedures, AML program development and testing, branch and OSJ examinations, advertising and correspondence review, regulatory filings, FINRA and SEC examination oversight, and customer complaint and arbitration management.
Glenn holds an MBA in Financial Analysis and Management from the George H. Atkinson Graduate School of Management at Willamette University and a Bachelor of Business Administration in Managerial Finance from the University of Mississippi.
