brokerdealerforsale.com

150 Motor Parkway, Suite 401, Hauppauge, NY 11788.

Mon-Fri 9:00 to 5:00 Sunday CLOSED

Broker Dealer For Sale

+1 (631) 595-5305

Brent Western

Chief Compliance Officer

Brent is a seasoned compliance professional bringing deep value to the CXG team as a Chief Compliance Officer.  His responsibilities include running various portions of broker dealer compliance and ensuring that each firm’s efforts to grow their business is in full function.

Prior to his tenure at CXG, he spent twelve (12) years at Raymond James & Associates, Inc. leading several compliance initiatives developing training and education for the firm, including a role as the advisory-side CCO.  While there, he oversaw several compliance areas on the broker dealer side, including Annuities & Insurance, Branch Audits, Dispute Resolution, and managing a division of the firm.  His tenure also included management of the formal creation of the firm’s Senior & At-Risk Investor Protection Team.

Brent has trained, mentored and coached dozens of associates during his career. He holds a B.S. in Finance from the University of South Florida and an M.B.A. with Honors from Florida State University. In his personal life, Brent spends time coaching youth basketball.