Sam has a background in securities law, including roles as in-house counsel and senior compliance officer at an institutional broker-dealer, and as the director of examinations and licensing for a state securities agency. Prior to working in the securities industry, Sam was an international tax and M&A attorney at PricewaterhouseCoopers LLP.
In his current role at Advisor Guidance, Sam is responsible for assisting new Registered Investment Advisers with SEC or state filings, as well as helping them to develop their initial compliance and regulatory processes.