As Chief Compliance Officer, Chris provides regulatory oversight for BLB&B Advisors, LLC. Prior to joining BLBB, Chris served as a Director at Chenery Compliance Group. In that role he managed the compliance programs and regulatory compliance for multiple SEC and state registered entities as well as several private fund managers. Prior to Chenery, he served as Chief Compliance Officer for LGL Partners and Forbes Family Trust, two multi-family offices with approximately $4.2B in assets under management. While at LGL/Forbes, Chris was responsible for overseeing private funds compliance for Bala Capital Group, an affiliate of LGL and FFT.
In addition, Chris has worked for BNY Mellon – Lockwood Advisors where he conducted due diligence on participating managers for Lockwood’s separately managed accounts platform. These functions included initial review and ongoing compliance assessment. Chris has served as CCO & FinOp responsible for the startup of Aberdeen Fund Distributors, a $4.1B lift-out from Nationwide, and as CCO & FinOp for Investorforce Securities, a FINRA registered Broker Dealer.
Chris has successfully led the compliance functions for many FINRA and SEC-regulated entities. In all, he has over 25 years of experience in the investment management industry in compliance and operations and is a graduate of Denison University.
While not working, Chris and his wife Gina can be found on the sidelines watching their kids compete in youth sports.