Harold G. Chaffee

Harold G. Chaffee, CFA has a solid background in compliance and financial services. Harold G. currently holds the position of Chief Compliance Officer at Osaic, overseeing compliance efforts at both Securities America and Triad Advisors. Prior to this, Harold served as the Managing Director and Chief Compliance Officer at National Holdings Corporation for three years. Harold G. has also worked as the Director of Compliance Support Services at Renaissance Regulatory Services, Inc. and as the Vice President, Chief Compliance Officer at Triad Advisors, Inc. Additionally, they have experience in the regulatory field, having worked as an Examiner at FINRA (fka NASD). Harold began their career as a Staff Accountant and Manager at Securities Consultants, Inc. Overall, their work experience reflects their expertise and commitment to compliance and risk management in the financial industry.

Harold G. Chaffee, CFA holds a BBA degree in Finance from Florida Atlantic University, which they obtained in 1994. In addition to their formal education, Chaffee has obtained multiple certifications throughout their career. In September 1998, they earned the Chartered Financial Analyst (CFA) charterholder designation from the CFA Institute. Harold G. further enhanced their expertise by obtaining the Certified Securities Compliance Professional (CSCP) certification from the National Society of Compliance Professionals in October 2009. Chaffee also holds the Certificate in Investment Performance Measurement (CIPM) from the CFA Institute, which they obtained in June 2010. Displaying their commitment to professional development, they achieved the CFA Institute CE Program 20 Year Milestone in December 2017 and the CFA Institute PL Program 25-Year Milestone Badge in December 2022.