As our General Counsel, David is responsible for all legal and regulatory affairs impacting the business. David was formerly the General Counsel and Chief Compliance Officer of the Private Wealth Partners, where he was responsible for all aspects of its broker dealer compliance program as well as the compliance programs of its RIA clients. Prior to joining The Private Wealth Partners, David spent 9 years at Morgan Stanley Smith Barney, including 3 years as the lead attorney, and later head of business risk and supervision for their U.S. Private Wealth Management Division. He has over 20 years of experience, where he has advised on numerous legal and compliance matters, ranging from SEC and FINRA examinations, cross jurisdictional registration and supervision, arbitrations, enforcement actions, and complex business transactions.
David received his Juris Doctor from Georgetown University Law School and has a Bachelor of Arts degree in Philosophy from Rutgers University. Additionally, he is a member of the Securities Regulation Committee of the Business Law Section of the New York State Bar Association.