Jake Palmer

Director, Compliance & Ops

Jake is the Director of Compliance and Operations and oversees and directs the functionality of both departments.  He has extensive compliance and supervision experience including over 25 years of industry experience, and fifteen years’ experience as Chief Compliance Officer and Anti-Money Laundering Officer for an independent Broker-Dealer (B/D) and Registered Investment Advisor (RIA). 

Jake earned FINRA’s Certified Regulatory Compliance Professional (CRCP) designation, attending and completing courses at the Wharton School of Business in 2018.  He has been on numerous FINRA District Committees, spoke at various national and regional FINRA and SEC conferences, and was chosen to sit on FINRA arbitration panels, providing expertise on subject matter ranging from fixed income institutional trading to suitability issues.   

 Jake has held Board Member positions with both The Children’s Shelter of San Antonio and San Antonio Youth, dedicating efforts to foster care and after school care for children in need.  He and his family live in San Antonio, TX.

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