Stu is the Chief Compliance Officer for Cerity Partners. As Chief Compliance Officer, he is responsible for all aspects of the firm’s compliance program and adherence with the Investment Advisers Act of 1940. He has more than twenty-six years of experience in the financial services industry, serving in both compliance and operational roles.
Prior to joining Cerity Partners, Stu served as Chief Compliance Officer at EMM Wealth and SAGE Advisors, managing all aspects of both firms’ compliance and cybersecurity programs. In addition to serving on the investment committee and cybersecurity risk committee, Stu integrated EMM Wealth’s technology into its operational and reporting workflows.
Stu obtained his Investment Adviser Certified Compliance Professional (IACCP®) designation from National Regulatory Services and the Investment Adviser Association. He earned his Bachelor of Arts degree in History from Randolph Macon College.
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