DFPG’s Compliance Team Honored

DFPG is pleased to announce that several members of its compliance team have been recognized for their contributions to the industry.

Brad Anderson & Will Snider

DFPG’s Brad Anderson (Senior Compliance Officer) and Will Snider (Dir. of Systems & Processes) published an article entitled “The Hidden Risks of Data Aggregation” in the 2020 March edition of Currents, a regular publication of the National Society of Compliance Professionals (NSCP).

Craig Watanabe

DFPG’s Craig Watanabe (Dir. of IA Compliance) has been selected as a finalist for Compliance Week’s “Mentor of the Year.”

DFPG is an independent broker-dealer and registered investment advisor (RIA) with registered representatives and investment advisors located across the country. As a broker-dealer and RIA, DFPG provides a full-service platform that enables its financial advisors to more effectively serve their investors. DFPG was recently added to Inc. Magazine’s Inc. 5000 and is recognized within the financial services industry for its expertise and due diligence in alternative investments, with a focus on securitized real estate.

For more information about DFPG, including media inquiries, please contact Nick Hansen (nhansen@dfpg.com).