Brad Anderson

7d2024
Written By Holly Orefice

Brad Anderson is the Chief Compliance Officer at Diversify Advisor Network, a small retail dual-registrant headquartered in Salt Lake City, UT. DFPG is known within the industry for expertise in alternative investments. Brad is the co-founder of the SLC Compliance Roundtable and an advocate for professional development within the securities compliance industry. Brad serves on the editorial board of the NSCP Publications Committee, in addition is FINRA's West Region District 3 representative. Over the course of his career including compliance and supervision roles at Fidelity and a tour in the United States Marine Corps. Brad has taken what he has learned and applied to become a more effective compliance professional. In particular, Brad has a keen appreciation for the human element in compliance.

7d. BD/IA – Effective Supervisory Programs for Smaller Firms (Intermediate - OPEN)

Holly Orefice
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