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.