Mr. Felt joined the Firm in February 2013 and serves as the Financial Operations Principal (FINOP/ Chief Financial Officer) and as a Compliance Officer for Estrada Hinojosa. Mr. Felt’s additional responsibilities include CRD renewals, Anti-Money Laundering, Continuing Education and Assistant Executive Representative to the Financial Regulatory Industry Authority (FINRA).
Mr. Felt has over 25 years of financial service experience and possesses a strong knowledge of SEC and FINRA regulations. Prior to joining Estrada Hinojosa, Mr. Felt served as a Financial Compliance Consultant for MGL Consulting Corporation and SEF & Associates, Inc. where he performed a wide variety of compliance functions. These functions include conducting Anti-Money Laundering Audits, writing and revising Written Supervisory Procedure Manuals, conducting branch office inspections, and assisting companies through the New Member Application process. Mr. Felt has previously served as Chief Compliance Officer and Financial Operation Principal for several FINRA member broker dealers. Mr. Felt has been registered with many FINRA regulated firms including Morgan Stanley, Fidelity Investments, SWS Financial Services, Lincoln Financial, MicroVenture Marketplace, and other FINRA member firms.