- Broker-Dealer Litigation and Consulting
- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Industry Standards: Trusts, Estates and Vulnerable Investors
- Employment and HR Issues
- Reg BI, Investment Advisory and Fiduciary Standards
John IvanManaging Director
John is a highly respected securities industry attorney and compliance professional who has led both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues.
Most recently, he served as Chief Compliance Officer for Raymond James & Associates, Inc., the full-service retail and capital markets broker-dealer based in St Petersburg, Florida, and also was head of Compliance for all of Raymond James’ retail and dual registrant businesses. Prior to that, he was Managing Director at Bank of America Merrill Lynch covering Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC, in Philadelphia, and held the Series 7, 8, 14, 24 63 and 65 security industry licenses.
John also served in senior compliance and legal roles at Goldman Sachs in New York, and at Wells Fargo Advisors’ predecessor firms in Richmond, Virginia. He began his career at the United States Securities and Exchange Commission. He is a graduate of University of Virginia and University of Richmond Law School.
Address: 1530 East Dundee Road, Palatine, IL 60074