Keith currently serves as a Senior Team Leader in the Payment Risk Oversight department at Edward Jones. Prior to this role, Keith served as AML Governance and Advisory Manager for Wells Fargo Advisors and First Clearing.
He has over 23 years of experience in the brokerage industry starting out in various operational roles in New York and Milwaukee, WI before moving into the Risk/Compliance space 16 years ago while with Bank of New York (BNY) Clearing in Milwaukee.
Keith moved to Wachovia Securities (now Wells Fargo Advisors) in Richmond, VA in 2004 as a member of their Compliance Department. From there he moved over to First Clearing Correspondent Services as a Compliance Liaison.
Keith holds a Master’s in Business Administration from The Keller Graduate School of Management and a Bachelor’s Degree from Siena College in Loudonville, NY. He is a Certified Anti-Money Laundering Specialist (CAMS) and currently holds active FINRA Series 7, 24, and 27 registrations.