In addition to his responsibilities as Director of Operations, Erik will become the firm’s CCO in early 2018. This role is being transferred to Erik from our current CCO, Rick Volpe, who has served in that capacity for the past 2 years.
The CCO for a Registered Investment Advisory firm like APS plays a crucial role in fostering integrity in the securities industry. Erik is responsible for making sure that APS implements policies and procedures in order to comply with the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act.
You can see Erik’s full bio by clicking here