Wealth management
10 broker-dealer compliance experts
These ten professionals have held chief compliance officer roles at broker-dealers and other financial firms. A reader can learn how compliance leaders build and run broker-dealer compliance programs.
Professionals to explore
01—10Avery Kranz
LinkedInExperience: Managing Director, Head of Compliance SMBC Nikko Securities America and SMBC Capital Markets, Inc. · SMBC Group
Managing Director, Head of Compliance SMBC Nikko Securities America and SMBC Capital Markets, Inc. at SMBC Group since 2020. Former Director - Co Chief Compliance Officer at Citadel (2009–2010), Senior Vice President - Compliance at Jefferies (2011–2012) and Director - Compliance at Citi (2004–2009).
Brian Haley
LinkedInExperience: Director of Broker Dealer Compliance & AML Officer · Cetera Financial Specialists LLC
Former SVP & Chief Compliance Officer (2012–2024) and Director of Broker Dealer Compliance & AML Officer (2007–2012) at Cetera Financial Specialists LLC, and former Trade Surveillance Analyst there (2004–2007). Also former Interim Chief Compliance Officer at Cetera Advisors LLC (2017).
Diana Bergherr
LinkedInExperience: Chief Compliance Officer · Absa Securities U.S. Inc. & Absa Bank Limited Representative Office (NY)
Chief Compliance Officer at Absa Securities U.S. Inc. & Absa Bank Limited Representative Office (NY) since 2018. Former Chief Compliance Officer Managing Director at Haitong Securities USA LLC. (2016–2018) and Chief Compliance Officer at Deutsche Numis (2007–2011). The profile describes designing compliance programs and managing day-to-day operations of broker-dealers.
Jeffrey Walck
LinkedInExperience: Chief Compliance Officer · Commerce Brokerage Services, Inc.
Former Chief Compliance Officer at Commerce Brokerage Services, Inc. (2007–2011), a role the profile describes as covering the firm's broker-dealer, federally registered investment advisor and insurance agency, including ensuring that all three entities had compliance processes in place. Former Compliance Officer - AML Compliance Officer at FFP Securities, Inc. / First Advisors, Inc. (2004–2007).
Judy Payuk
LinkedInExperience: Chief Compliance Officer · First Brokerage America, LLC
Former Chief Compliance Officer at First Brokerage America, LLC (2006–2014) and Chief Compliance Officer - Commerce Brokerage Services, Inc. at Commerce Bank (2014–2017). The profile lists serving as MSRB Principal at First Brokerage America, reviewing and approving all municipal trades and 529 plans.
June Batcheller
LinkedInExperience: Vice President, Chief Compliance Officer · E*TRADE from Morgan Stanley
Former Vice President, Chief Compliance Officer at E*TRADE from Morgan Stanley (2001–2015). The profile describes developing compliance programs and implementing procedures and controls to support trading, investing and retirement in a retail online and financial services call center environment. Former Supervisor at NASD (1996–2000).
Paul Dickinson
LinkedInExperience: Chief Compliance Officer & Anti-Money Laundering Officer · Manulife John Hancock Brokerage Services LLC
Chief Compliance Officer & Anti-Money Laundering Officer at Manulife John Hancock Brokerage Services LLC since 2023. Former Deputy Chief Compliance Officer at John Hancock (2015–2023), Compliance Director at Fidelity Investments (2012–2015) and Vice President Compliance at Upromise Investments, Inc. (2006–2012).
Paul Kropke
LinkedInExperience: Chief Compliance Officer · Marex
Former Chief Compliance Officer at Marex (2021–2025) and at First Analysis (2005–2021), and Senior Compliance Officer at William Blair since 2025. The profile says this person manages and oversees the design and implementation of compliance programs for registered broker-dealers and registered investment advisers, and lists former roles at the U.S. Securities and Exchange Commission (2003–2004) and Cboe Global Markets (1998–2003).
Peter Cleven
LinkedInExperience: Chief Compliance Officer · LAFISE Securities LLC
Chief Compliance Officer at BCP Securities Inc since 2025. Former Chief Compliance Officer at LAFISE Securities LLC (2021–2025), where the profile lists developing and managing a comprehensive compliance program to ensure adherence to applicable laws, regulations and internal policies. Former Compliance Director at Fidelity Investments (2016–2021).
Thomas Facchine
LinkedInExperience: Head of US Broker Dealer Compliance · DriveWealth
Head of US Broker Dealer Compliance at DriveWealth since 2024 and former Chief Compliance Officer at DriveWealth Institutional (2022–2024). Former Chief Compliance Officer at SageTrader, LLC (2019–2020) and Senior Compliance Officer at Clear Street (2020–2022). The profile describes managing compliance operations of FINRA registered broker dealers and serving as the primary regulatory interface with FINRA, SEC and Exchanges.
Choose the right perspective
Match the person's firm type to yours, since compliance at a retail brokerage with many registered representatives differs from compliance at an institutional or clearing firm. Ask each person how they handled regulatory examinations and how large a compliance team they ran, so you can judge how close their experience is to your situation.
Questions to take into the conversation
- 01How did you structure your written supervisory procedures and keep them current as the business changed?
- 02How did you prepare the firm for a FINRA or SEC examination, and what findings did you work hardest to avoid?
- 03How did you staff and budget the compliance function as the firm grew or added new products?
Reaching broker-dealer compliance experts
How can I contact one of these broker-dealer compliance experts?
Pick one of the 10 people on this page and choose "Book a paid call", or describe your project to find others. You offer a fee for a 15-minute call or a written answer, Instant Expert finds the person's work email and sends the invitation, and they decide whether to accept. The list covers 10 companies, including SMBC Group, Cetera Financial Specialists LLC and Absa Securities U.S. Inc. & Absa Bank Limited Representative Office (NY), based on profile data retrieved on October 4, 2026. Being listed here doesn't mean someone has agreed to take calls.
How much does it cost to reach broker-dealer compliance experts?
You choose the offer, starting at $5 per person. It includes Instant Expert's 20% fee, so an offer that pays the person $100 costs you $125. You're charged only when the person books the call or sends the answer.
What if they don't reply?
You pay nothing. Instant Expert sends follow-up reminders, and if the person hasn't booked or answered within 7 days, the request expires and any hold on your card is released. You can invite several of the 10 people on this list at once and cap your total spend, so you pay only for the ones who accept.
About this directory
This is a professional research starting point based on business profile data retrieved on . Titles and companies reflect that source snapshot and may describe past or present roles. Check the linked profiles for current details. Inclusion does not imply Instant Expert membership or availability.
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