Director of ALARIC Compliance Services, LLC
Andrew Heath is a securities industry professional with over 23 years of experience in the roles of Chief Compliance Officer, General Counsel, and professional consultant. He personally supervised staff responses to over 20 regulatory audit examinations for several Wall Street brokerage firms in areas as diverse as retail and institutional sales practices, equity and fixed income trading (including options), municipal securities, research, advertising and customer communications, and various state and federal regulatory inquiries. His responsibilities include branch audits and annual presentations; development and analysis of trade reports; legal support in client litigation and arbitrations, including customer complaint analysis, handling and reporting; monitoring of MSRB, TRACE, and OATS operational reports; AML compliance, including KYC and CIP program support; mutual fund surveillance and compliance functions. As a fully licensed attorney with experience at law firms in Washington, DC and New York, he is currently admitted to practice in New York and New Jersey. Mr. Heath earned his BA degree from Springfield College, his JD from Albany Law School with Honors, and his LL.M. from Georgetown University Law School. He has qualified for the following securities industry licenses: Series 4 (Options Principal); Series 7 (Registered Representative); Series 9/10 (Sales Supervisor); Series 24 (General Securities Principal); Series 53 (Municipal Principal); Series 55 (NASDAQ Equity Trader); Series 63 (State Law/Agent); Series 65 (Investment Advisor) and Series 87 (Research Analyst Compliance).
