You have enough on your plate driving revenue and performance and keeping your clients satisfied. Aspect Advisors can oversee preliminary and periodic requirements to initiate and maintain the regulatory status that fits your business needs.
Co-Founder & President
As a consultant, Justin has been the outsourced Chief Compliance Officer for a large wealth manager, a fund-of-funds complex, an options-overlay adviser, an internet-based investment adviser/financial planner, a private placement custodian, and a private placement investment bank. His clients’ strategies run the gamut of the alternative investment spectrum and range broadly from more traditional public/private equity to debt, volatility, robo-advisor services, and digital assets and cryptocurrencies. Justin has also served as the Financial Operations Principal for multiple broker-dealers.
Justin has extensive experience interfacing with the SEC, FINRA, the NFA, and state regulators on topics ranging from initial registration applications, business expansion applications, regulatory audits, enforcement proceedings, and arbitrations. He is a firm believer in understanding and appreciating all of the traits that make his clients unique in order to provide them with tailored advice specific to their needs.
Justin earned his Bachelor of Science degree in Hotel Administration, with a concentration in Business Law, from Cornell University. He holds FINRA series 7, 24, 27, 55, 66, 79 and 87 licenses, and serves on FINRA’s Continuing Education Committee.