The ASN management team

Thomas C. Prescott, Jr. is a co-founder and Managing Member of ASN and is responsible for strategic consulting and relationship management for the firm. Tom brings more than 40 years of financial services industry and consulting experience to ASN, with particular expertise providing compliance, risk management, and operations services to Investment Advisor Representatives (IARs).

In 1987, Tom formed Prescott & Associates, which would later become Mainstay Capital Markets Consultants, Inc. (“Mainstay”), to provide comprehensive consulting services to broker/dealers, investment advisers, banks, money managers, pension plans, corporations, and securities attorneys. In 2010, Dave and the principals of Mainstay founded ASN to serve as a strategic partner for IARs.

Tom began his career in the financial services industry in 1980 with Lehman Brothers Kuhn Loeb, Inc.

Dave is a co-founder and Managing Member of ASN, where his primary role is identifying and managing risk.

Prior to ASN, Dave worked for over two decades at NASD (now known as FINRA) as an examiner, Supervisor of Examiners, and Associate Director of the Atlanta District Office. Dave served on a number of national NASD committees and task forces, was an instructor in NASD’s accredited examiner training program for ten years, and was a two-time recipient of NASD’s Excellence in Service Award.

Dave is also involved with ASN’s affiliate, Mainstay Capital Markets Consultants, Inc. where he provides regulatory and compliance consulting services to securities broker/dealers and registered investment advisers throughout the United States.

Cindy is the Chief Operating Officer & Controller for ASN and has been with the firm since its inception in 2010.

Cindy manages the day-to-day functions of the firm as well as working directly with advisors. She is also responsible for the implementation of advisor transitions and the management of all financial and operational teams.

Cindy has over 25 years of experience in financial operations, possessing extensive technical knowledge in all aspects of finance and operations. She has held significant leadership roles in financial management.

Laura serves as Chief Compliance Officer at ASN.

A solutions-focused compliance professional with a 22-year background in the financial services industry, Laura began her career doing broker/dealer and investment adviser registrations for multiple firms, ultimately becoming Chief Operating Officer.

Laura then leveraged her years of experience to became Chief Compliance Officer for a mid-sized broker/dealer and RIA prior to joining Mainstay Capital Markets Consultants , Inc and subsequently ASN as its Chief compliance Officer.

Trey has more than 10 years of experience at ASN and is currently the Director of Business Development, overseeing the company’s sales, marketing, and relationship management functions. Previously, Trey spent five years working in ASN’s sales department where he helped grow the company’s roster of independent advisors. After graduating from Auburn University’s Lowder School of Business, Trey started his career in the financial industry as part of ASN’s transition and operations teams.