Director, Supervision & Audit
Wes is responsible for the compliance aspect of our firm. In his role, he works to provide guidance for best practices by tracking relevant laws and regulations, reviewing our policies and procedures, and most importantly, helping to preserve the integrity of Prospera Financial. His work is a key component to supporting our firm’s core values of care character and competency.
Wes’ previous positions included the titles of trader, trading manager, operations manager, and compliance manager. Wes obtained his Bachelor of Business Administration from the University of North Texas and is Series 7, 63, 66, 24 & 55 licensed.