Shawn  Baxter

Shawn Baxter

Director, Compliance

In his role, Shawn stays up-to-date on the rules of regulatory agencies and ensures company policies and procedures are adhered to, regularly reviewed, and updated as needed. Shawn is also the firm’s designated Anti-Money Laundering (‘AML’) Compliance Officer. This role is dedicated to overseeing the day-to-day operations and internal controls of the firm’s AML Compliance Program.

Shawn has worked in the financial services industry as a compliance professional for over 20 years, most recently serving as Compliance Director at Avantax Wealth Management. He has also previously served in various compliance and trading roles at 1st Global and Fidelity Investments. Shawn holds his Series 7, 24, 53, 63, and 66 licenses, as well as the Certified Anti-Money Laundering Specialist (CAMS) and Investment Adviser Certified Compliance Professional (IACCP) designations.