Dave has been licensed in the securities industry since 1988. As the Chief Compliance Officer, he serves KCD well overseeing regulation changes, product due diligence and handling inquires and customer complaints. His extensive background supports KCD reps with practice management, brokerage account problem-solving and service issues to ensure KCD Reps and clients are well taken care of. Dave holds the following securities registrations: Series 7, 24, 53, 63 and 65.