David D. Thetford

Securities Compliance Principal Analyst
USA

As the Securities Compliance Principal Analyst, David Thetford brings the financial service's industry compliance manager's point of view to Wolters Kluwer Financial Services.

A retired Navy Commander, Mr. Thetford brings more than twenty years' experience in leadership and in the management of people and processes. He brings ten years' experience in the financial services industry. He has worked as a compliance examiner for the National Association of Securities Dealers (NASD). He served as branch Compliance Manager for the third largest branch of Morgan Stanley, serving more than 100 registered representatives. He also served as a Supervisor of Examiners in the Chicago, IL office of Wachovia Securities Compliance Department. Before coming to Wolters Kluwer Financial Services, he was Chief Compliance Officer of Advanced Equities, Inc., a small full-service Broker-Dealer and Investment Adviser specializing in private offerings under Regulation D.

Mr. Thetford is the author of the Broker Dealer branch examination template embedded in Audit FS. He is also Editor of Practical Compliance and Risk Management for the Securities Industry, a trade periodical for compliance managers, risk managers, and their counsel.