Signator Investors, Inc. Names Joseph Terry as Chief Compliance Officer
April 5, 2017
BOSTON, April 4, 2017 – Signator Investors, Inc. has named Joseph Terry chief compliance officer, with responsibilities for overall compliance, it was announced today by Christopher Maryanopolis, head of Signator Investors, Inc. Mr. Terry, who works from Signator’s St. Petersburg, FL, office, is taking the reins from long-time compliance chief Thomas Horack, who will be retiring later in the year.
Prior to joining Signator last November, Mr. Terry had been the chief supervision officer for Advisor Group overseeing the supervision activities of both the retail and investment advisory businesses for all four of the Advisor Group broker-dealers and leading an organization of approximately 100 employees responsible for supervision.
“We are pleased to have Joe lead us in this capacity,” said Maryanopolis. “He’s been working with Tom to ensure that the members of our broker-dealer are ready for whatever comes their way as we move toward the complexities of the next generation advisory practice. We also are grateful to have had Tom’s expert guidance throughout all the changes at Signator and in the industry over the years.”
“An effective compliance program is more than policies and procedures, its engrained in the culture of a firm,” said Mr. Terry. “It’s reflected in the daily decisions and interactions of our advisors and the home office professionals that support them, requiring a compliance team that understands the impact of rules on all of our constituents, clients, advisors, and employees. We’re working to make compliance one of Signator’s competitive advantages.”
Before joining Advisor Group, Mr. Terry had held positions at Horace Mann Investors, Inc., as president, CEO and chief compliance officer; at Nationwide in compliance, and at Edward Jones as an advisor.
Mr. Terry received his Certified Regulatory Compliance Professional (CRCP) designation from the FINRA Institute at Wharton. He has an MBA and MS from the Kelley School of Business at Indiana University and a BA from Westminster College. He holds Series 4, 7, 24, 27, 53, 63 and life insurance licenses.
About Signator Investors, Inc.
Signator Investors, Inc. is a dual-registered broker dealer/investment adviser with a national network of independent firms and more than 2,000 financial professionals across the U.S. A leader in the financial services industry having the stability and scale to offer an innovative business model, Signator gives entrepreneurial financial professionals the power to effectively build unique businesses, based on their own vision and market opportunity. For more information on Signator Investors, Inc. and its national network of independent firms, visit http://www.signatorinvestors.com/