Steven "Tex" Perry
Vista
Summary
Detail-oriented Series 24 Supervisory Principal and OSJ Delegate experienced in branch examinations, compliance oversight, and supervision of registered representatives. Managed regulatory risk effectively while conducting high-volume branch audits and ensuring compliance for large advisor populations under FINRA and SEC regulations. Advanced through leadership roles from Branch Examiner to Manager to OSJ Delegate, recognized for driving compliance and enhancing internal controls to support business operations.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Manager, Compliance Supervision
Mariner Advisor Network
Vista
12.2022 - Current
- Oversaw compliance activities of 215 to 225 licensed advisors and administrative staff to maintain regulatory standards.
- Reviewed and approved transactions, communications, and account activities to ensure regulatory compliance.
- Enforced supervisory procedures, ensuring strict adherence to FINRA and SEC regulations to minimize compliance risks.
- Identified and mitigated compliance risks within a multi-advisor environment.
- Trained and guided advisors and staff on compliance standards, enhancing understanding and implementation of regulations.
- Supported leadership in fostering a strong culture of compliance and accountability.
Branch Exams - Manager
LPL Financial
San Diego
09.2007 - 11.2022
- Led examination processes as Manager, mentoring team members and improving audit execution
- Identified compliance deficiencies and implemented corrective action plans to reduce risk exposure
- Worked with compliance and operations teams to enhance internal controls. Conducted 100–125 branch office examinations annually, ensuring compliance with regulatory standards and firm policies
- Monitored adherence to supervisory procedures across multiple branch locations, ensuring compliance with regulatory standards
- Prepared detailed reports and presented findings to senior leadership, facilitating informed decision-making
- Collaborated with compliance and operations teams to strengthen internal controls, enhancing overall risk management
Skills
- FINRA & SEC Compliance
- Regulatory Risk Management
- Compliance audits
- Internal Controls
- Supervisory Principal Oversight
- OSJ Supervision
- Advisor Supervision
- Branch Office Examinations
- Licensing & Registration
- Staff Training
- WSP Enforcement
Certification
- Series 99TO -- Operations Professional
- Series 7 -- General Securities Representative
- Series 66 -- Uniform Combined State Law
- Series 24 -- General Securities Principal
Affiliations
- Freemason of Fallbrook Lodge #317
- Al Bahr Shrine - Clown Unit
- Vista Elks Lodge #1968
Timeline
Manager, Compliance Supervision
Mariner Advisor Network
12.2022 - Current
Branch Exams - Manager
LPL Financial
09.2007 - 11.2022