Education

BA, Ohio State University

JD, Capital University

Chris Nelson

JD
Chief Compliance Officer

Chris Nelson has been implementing and maintaining compliance programs for investment advisers, broker-dealers, and insurance marketing organizations for more than 25 years. Working for large multinational corporations, as well as smaller firms, he has led compliance teams, implemented policies and procedures, coordinated regulatory examinations, and monitored business activities.

Chris attended Ohio State University and earned a Bachelor of Arts degree in Political Science, with a Capstone program in Finance. He also obtained his Juris Doctor from Capital University and is licensed to practice law in Ohio (currently inactive).

Chris Nelson

JD
Chief Compliance Officer

Chris Nelson has been implementing and maintaining compliance programs for investment advisers, broker-dealers, and insurance marketing organizations for more than 25 years. Working for large multinational corporations, as well as smaller firms, he has led compliance teams, implemented policies and procedures, coordinated regulatory examinations, and monitored business activities.

Chris attended Ohio State University and earned a Bachelor of Arts degree in Political Science, with a Capstone program in Finance. He also obtained his Juris Doctor from Capital University and is licensed to practice law in Ohio (currently inactive).

Education

BA, Ohio State University

JD, Capital University