Director of IA Compliance
- Company:DFPG Investments, Inc.
- Short Bio:Mr. Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG Investments, Inc. (“DFPG”) since April 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. Mr. Watanabe has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans. In his current role as a financial adviser with DFPG, Mr. Watanabe works with clients to assist in growing and protecting their assets and planning to meet their financial objectives. DFPG is a registered broker-dealer and investments adviser. Mr. Watanabe is responsible for the investment adviser compliance program. Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. Mr. Watanabe is a frequent speaker at conferences and has authored numerous articles and training modules for financial professionals. Securities and advisory services are offered through DFPG Investments, Inc., Member FINRA and SIPC.