John has a passion for helping financial advisers focus on their clients and channel their energy and time into growing their businesses.  He founded Northstar Advisory Services to provide independent financial advisers with a solution to their internal auditing, risk management, compliance and operational needs.  He has served as a Chief Compliance Officer for a Registered Investment Advisory firm where he was responsible for the firm's regulatory investment responsibilities.  Previously John served for twenty years as a Portfolio Control Manager at a global investment management firm, where he was involved with regulatory and investment compliance.  

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Education

BA in Economics, University of California, Berkeley

 

Certifications

• Certified Internal Auditor (CIA®)

• Certified Fraud Examiner (CFE®)

• Certification in Risk Management Assurance (CRMA®)

• Financial Paraplanner Qualified Professional (FPQP®)

• Investment Adviser Certified Compliance Professional (IACCP®)

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Professional Associations

• Institute of Internal Auditors

• Association of Certified Fraud Examiners

• National Society of Compliance Professionals

• Society of Corporate Compliance and Ethics

• California '40 Acts Group

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Hobbies

Traveling, cooking, foreign films, and hiking