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.