Chris is the Compliance Officer of Triumph Capital Management. He is a graduate of Kennesaw State University with a Bachelor’s degree in Political Science and received his Juris Doctorate from The Ohio State University Moritz College of Law. During law school, Chris focused on small business formation and the federal tax code. In particular, Chris learned how to make tax efficient entities within the cannabis industry.
Prior to working at Triumph Capital Management, Chris represented a cannabis multi-state franchise as their in-house counsel and application writer. At Triumph Capital Management, Chris is responsible for assisting with all compliance activities and oversight of the firm. He works closely with the Chief Compliance Officer to ensure business priorities and compliance requirements are aligned. Additionally, Chris has earned his Series 65 and is an Investment Adviser Representative.
Most recently, Chris earned his IACCP designation. The Investment Adviser Certified Compliance Professional designation is awarded to individuals who complete the IACCP course, pass a certifying examination, complete an ethics assessment, and, at a minimum, have two years of work experience related to investment adviser compliance. The IACCP designation signified intermediate-level knowledge of investment adviser regulation and compliance best practices. Furthermore, IACCP designated individuals most complete annual continuing education requirements to maintain their status.