Chief Compliance Officer
As Chief Compliance Officer of Regal Advisory Services, Inc. and Regal Securities, Inc. Gabe has over 30 years of regulatory compliance experience in the financial industry, specializing in broker/dealers and investment advisor regulation. Gabe manages Regal’s compliance team and its regulatory relationships, including FINRA, SEC and various state securities regulators.
Prior to joining Regal, Gabe was Managing Director of Compliance for an investment bank working with retail and institutional trading clients. He worked at Evergreen BDC, as the Managing Principal, consulting and providing financial services to his clients. He has worked with small start-up firms like Livevol, Inc. and Spires Financial, L.P. as well as large organizations like E*TRADE and MF Global.
Gabe and his team partner with our advisors and registered representatives to create robust, smart, and common-sense compliance and regulatory solutions. In a dynamic regulatory environment, Gabe’s prior experience as a regulatory examiner for the NASD, FINRA’s predecessor organization, is invaluable.
Gabe holds 10 securities licenses and received a Bachelor of Business Administration in Accounting from Texas Tech University and a Master of Jurisprudence in Business Law from Loyola University Chicago.