Chris is a veteran financial and operational principal with 23 years of experience in the financial industry, specializing in compliance, financial, and operational issues. Chris joined Bendigo Partners in 2010 and helped create its broker/dealer subsidiary, Bendigo Securities. Chris is the Chief Compliance Officer and Chief Financial Officer/ FINOP. In addition Chris is the Chief Financial Officer of Kapitall, Inc., one of Bendigo’s portfolio companies. Chris also helped create Kapitall’s broker/dealer subsidiary, Kapitall Generation and is the firm’s Chief Compliance Officer and Chief Financial Officer/ FINOP.
Chris’s career began at Charles Schwab working in the Mutual Fund Operations, Regulatory Reporting, Accounting, and Compliance Departments. From there, Chris became a Compliance Examiner with NASD Regulation reviewing member firms finances, operations, and sales practices. In 1998, Chris joined E*TRADE’s Finance Department and was responsible for Regulatory Reporting, Risk and Insurance Management, and Market Data Services. During his tenure at E*TRADE, Chris has served as Vice President of Finance/Regulatory Reporting and Chief Financial Officer for several of E*TRADE’s broker-dealer affiliates.
Chris has a B.S in Finance from San Francisco State University and has several securities principal licenses.