Dan joined Waystone as Director of Compliance and has over 22 years of experience in financial services and compliance. He began his career at the Chicago board of trade as a Broker and Market Maker, where he gained expert hands-on experience with CFTC and NFA rules and regulations. During this period, he was a clearing member of Henning & Carey trading. He assisted with risk management, exchange and regulator inquiries and investigation responses.
After his time at the Chicago Board of Trade, he joined TD Ameritrade. Initially as a Filling Broker, he then became a member of the futures and forex margin risk team. In this capacity he developed standard operating procedures regarding margin requirements, risk procedures, and proper regulatory reporting and record keeping standards. Dan spearheaded the firm’s response to various regulatory inquiries and NFA arbitration cases. He worked closely with the company’s legal and compliance teams to craft the best responses to these inquiries. Next, he managed the futures and forex trade desk. He was responsible for representative supervision, trade review, regulator reporting and record keeping standards. As Manager, he created the futures and forex margin training program for all TD Ameritrade representatives. He worked with the compliance team to ensure all aspects of the program complied with all CFTC, NFA, SEC and FINRA rules and regulations.
Next, Dan joined Robinhood as a founding member of their Chicago office as Manager of Equity Options and Service Support. He helped build the location from the ground up, with a focus on creating standard work for regulatory reporting and compliance issues relating to equity and equity options trading. Dan oversaw all reporting requirements for the team regarding SEC and FINRA rules and regulations. In this capacity, he managed trade review, associate supervision, compliance training and adherence.
Dan holds a bachelor’s degree in finance from the University of Portland, Oregon. He also currently holds FINRA and NFA series 3, 4, 7, 9, 10, 24, 34, 63 and SIE licenses.
