As Director of Field Supervision and Compliance, Chase provides oversight in the Compliance, Supervision, and Risk areas of Cambridge Financial Center in its relationship with broker/dealer Hornor Townsend Kent (HTK). Cambridge operates sixteen branch offices in four western states. Chase is responsible for training and inspecting registered reps to make sure they understand and fully comply with today’s complex regulatory environment. These rules are designed to give best practices service to our clients, within the ever-changing rules and regulations that apply to registered representatives and investment advisor representatives. Working with the Cambridge executive team, he ensures that advisors are given the tools and resources they need to navigate the environment.
Chase has 15 years experience in financial services working with some of the largest broker/dealers in the industry. His background in service, sales, and operations lends to his ability to understand the workings and challenges of building a strong practice. With a genuine passion for training, and for giving the best possible advice to clients, Chase lends this expertise to ensure that his Advisors are current with regulatory requirements. As noted, Chase is a registered principal of Hornor, Townsend & Kent, Inc.