The Supervision and Compliance team at Independent Financial Group, LLC ensures adherence to regulatory standards and internal policies. This team oversees branch activities, conducts inspections, manages compliance issues, and provides legal guidance to maintain the firm's integrity and protect client interests.
Ian Buxbaum
Home Office Supervisory Princi...
Macc Stefany Tegeler...
Office Of Supervisory Jurisdic...
Marco Fuentes
Director, Compliance
Marco Marron
Branch Inspector
Monica Alvarez
Supervisory Principal Associat...
Paul Cotofana
Supervisory Principal
Richard Mireles
VP, Branch Supervision
Sarah Kreisman
Chief Legal Counsel & VP, Comp...
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