As Director of Compliance, Chris provides training and oversight in the areas of Compliance, Supervision, and Risk management for Aspirewealth Planners through its relationship with Broker Dealer, Hornor, Townsend & Kent, LLC. (HTK). Aspirewealth Planners operates several branch offices in the mid-Atlantic area. As part of Aspirewealth’s Leadership team, and as a registered principal of HTK, Chris helps to ensure that advisors and Financial Professionals are given the necessary training, tools and resources to navigate the ever-changing regulatory environment.
Chris has over 20 years of experience in financial services working with some of the largest broker/dealers and wire houses in the industry. His background in compliance, sales, and operations lends to his ability to understand the mechanisms and challenges of building and protecting a strong practice.