Erik Aschenbrenner

Erik Aschenbrenner is a Bates Consulting Expert with over 40 years of experience in the securities industry.  Mr. Aschenbrenner began his career as an attorney with the SEC and subsequently moved to the private sector where he has been the Director of Investor Services for Integrated Resources, Inc., Associate General Counsel and Chief Compliance Officer for The Equitable Life Assurance Society (now known as AXA Advisors, LLC) and its broker-dealer subsidiaries, Senior Vice President and Director of Compliance for Oppenheimer & Co., Inc. (now known as CIBC World Markets Corp.), Senior Vice President and Corporate Compliance Officer for NationsBank (now known as Bank of America), and Managing Director of Legal, Compliance and Regulatory Affairs for BlueStone Capital Partners/Trade.com Online Securities, Inc., also serving as the Chief Operating Officer of its online trading division.

For the past 13 years, Mr. Aschenbrenner has been the head of a Compliance and Regulatory Services Consulting Practice.  He recently concluded a two-year engagement in which he served as the Chief Operating Officer of a “hybrid” SEC-registered investment adviser.  (Hybrid in the sense that the Investment Adviser Representatives of the RIA are also Registered Representatives of a national independent broker-dealer.)  Mr. Aschenbrenner’s responsibilities involved overseeing the Compliance Department and its Legal personnel from the perspective of both its investment adviser and broker-dealer activities, in addition to directing various aspects of the firm’s business operations.

Mr. Aschenbrenner, as the Senior Vice President and Corporate Compliance Officer of NationsBank (n/k/a Bank of America), developed, implemented, and administered a comprehensive program designed to ensure that securities compliance and risk management objectives were achieved in connection with all asset management lines of business, including the Bank’s three broker-dealer and five investment adviser lines of business as well as its Trust and Mutual Fund companies.

Mr. Aschenbrenner has also served as an Assistant Director of the NASD (FINRA) District 10 Office in New York City. He has been Vice Chairman of the NASD’s District 10 Business Conduct Committee, a member of the NASD National Market Regulation Committee and Chairman of its Examination Subcommittee. Mr. Aschenbrenner has served as an NASD arbitrator, chaired a number of NASD Disciplinary Hearing Panels, and has been a speaker and panel member at a number of industry conferences.