John’s compliance and legal leadership spans some of the industry’s most prominent wealth management and brokerage organizations.
Since joining the firm in 2023, he has collaborated with clients on all aspects of broker-dealer and investment adviser compliance and served as an Expert Witness in arbitration and court proceedings on supervision matters. John served as CCO of Raymond James & Associates, heading compliance across its retail, capital markets, and independent channels, and previously as Managing Director at Bank of America Merrill Lynch, leading compliance for its Global Wealth and Retirement Services business. Before that, he was General Counsel and Chief Compliance Officer at Janney Montgomery Scott, and held senior compliance and legal roles at Goldman Sachs and First Union Securities. His expertise covers compliance program design and reorganization, regulatory relationship management, Reg BI, the Marketing Rule, DOL-PTE, AML, off-channel communications, and product platform compliance across mutual funds, alternative investments, managed solutions, and structured products.
John holds a Juris Doctor from the University of Richmond and a Bachelor of Arts from the University of Virginia, graduating with Highest Distinction, and is a licensed attorney in the State of New York.
