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John Whisenant, Chief Compliance Officer

John is a registered Accredited Investment Fiduciary (AIF) and is responsible for the overall RIA Compliance program and creating and maintaining a “Culture of Compliance” for the firm. Responsible for Registration and Licensing, Trade Surveillance, ERISA requirements, due diligence and IAR office compliance examinations. John began his career in 1986 with Van Kampen American Capital Funds and American General Life in Houston, Texas. Holding positions with increasing responsibility in roles such as Chief Compliance Officer (RIA) for a large, national Hybrid B/D; Assistant Vice President, Compliance and Chief Anti-Money Laundering Officer for a large Insurance-owned Broker/Dealer; Assistant Vice President, Compliance and Chief Compliance Officer for a large independent RIA. Additional experience in key rolls involving Retirement Plan Administration, Operations and Marketing.

Education:
BS, Psychology, Texas A & M University

Licenses & Designations:
AIF®



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John Whisenant

Chief Compliance Officer