Stuart Simpson

Stuart Simpson is an experienced compliance professional with a diverse background in equity sales and trading. Currently serving as the Compliance Director at Stifel Financial Corp. since July 2015, Stuart leads a team focused on maintaining compliance across multiple broker-dealer platforms. Prior experience includes roles as a Senior Compliance Analyst and a Senior Regulatory Analyst at FINRA, where responsibilities encompassed reviewing compliance with FINRA rules and trading activity. Stuart has also held positions at Regions Bank/Morgan Keegan, Innovative Financial Group, FTN Midwest Securities Corp., Raymond James and Associates, and JC Bradford and Company, accumulating extensive experience in trading, investment options, and client service. Stuart holds a BS in Finance/Economics from Lipscomb University.