In today’s world, regulation can be challenging. At the end of the day, my main focus is the client experience.
Ernest G. Strauss IV
Ernest G. Strauss IV (Ernie) has over 20 years of experience working in compliance for the securities industry. He began his career as a Compliance Examiner in the Atlanta—District 7—office of FINRA, Inc. (formerly NASD). While with NASD, his activities included the coordination and implementation of compliance audits for NASD/NYSE member firms, review and analysis of monthly/quarterly financials of broker/dealers and acting as a liaison between approximately 30 member firms and the NASD. Additionally, Ernie served as a source of interpretive guidance for member firms with respect to new rules and regulations of the MSRB, NASD and SEC. Prior to joining DAI, Ernie served as Senior Vice President and Chief Compliance Officer at an Atlanta based Broker Dealer.
Ernie earned a Bachelor of Science in Management, with a concentration in Finance from the Georgia Institute of Technology in Atlanta. He also holds the Series 7, 24, 27 and 63 industry registrations.
In his spare time, Ernie enjoys playing ultimate frisbee (which is how he met his wife Julia), chasing his two dogs around and most importantly, fishing.
Check the background of this investment professional FINRA Broker Check.