Our Broker Dealer Consulting Team
Experienced in Broker Dealer compliance issues as well as BD/RIA Setup, Virtual
Principal/FINOP support, and as Expert Witnesses.

Brent Hippert
Managing Principal

    Brent has over twenty years experience in the securities industry including broker dealer compliance
    issues. He holds most FINRA registrations and has also been involved with firms in all areas of the
    industry. Brent's positions have included, Broker, Assistant Branch Manager, Chief Compliance Office,
    Registered Options Principal, Municipal Principal, Options Marketing, OTC Trading Manager, Branch
    Manager, Director of Branch Offices, Chief Operating Officer, FINOP, and President.

    Brent has been with both large and small firms including; Merrill Lynch, Bear Stearns, PaineWebber,
    Buckhead Financial, First Southeastern Securities Group, and The Volume Investor.

Ron Goff
Managing Principal

    Ron brings a broad background in the securities industry with over 35 years of experience. He has served
    as a FINOP principal in four local and four regional FINRA registered broker dealers. Each of these firms
    engaged in principal trading, market making, private and/or public offerings, and investment banking.  
    Most have offered investment research products and a full offering of investment products including fixed
    income securities and mutual funds.  

    He has most recently held the title of Senior Vice President of Morgan Keegan & Company,
    Inc. and previously held the same title with Wachovia Securities. His experience includes dealing
    extensively with broker dealer compliance issues.

David Parr
Managing Principal

    David has over fifteen years experience in the investment industry.  He holds most FINRA registrations
    and previous positions have included: Analyst, Director of Research, FINOP, Chief Compliance Officer,
    President, Trader, and Registered Options Principal.  

    David holds the Chartered Financial Analyst designation (CFA) and completed the Graduate School of
    Banking at LSU.

    Registrations
    Registrations held by the firm's affiliated consultants include: the series 3, 4, 5, 7, 8, 15, 24, 27, 28, 53, 55,
    63, 65, 79, 86 and 87.
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Financial Advisory Services, LLC   

Based in the Southeast, Serving the Entire USA
404-532-9750