Tom Zielinski serves as a Senior Compliance Consultant for RIA Compliance Consultants, Inc.
His compliance consulting practice at RIA Compliance Consultants includes registering new investment advisor firms, developing written supervisory policies and procedures and codes of ethics, reviewing advertising and sales literature, presenting compliance training for investment advisors, preparing annual amendments, and conducting compliance reviews.
Tom is an experienced securities industry professional. His career in the securities industry began over twenty-five years ago. During this tenure, Tom has successfully passed the Series 4 (Registered Options Principal), Series 7 (General Securities Representative), Series 24 (General Securities Principal), and Series 27 (Financial and Operational Principal) examinations and helped build the compliance functions of three nationwide financial services firms from the ground floor.
Since approximately 1987 Tom has concentrated upon compliance issues related to the rules issued by the U.S. Securities and Exchange Commission, self-regulatory organizations and state securities regulators. In particular, Tom has served as the chief compliance officer of a national clearing broker-dealer and two separate independent broker-dealers and their related investment advisory firms. In addition he has held the role of vice president of risk management for a national broker-dealer and investment advisory firm. In these roles, Tom was responsible for all compliance and regulatory matters along with the creation and documentation of the compliance programs. He has gained extensive experience with the securities industry regulators through researching, negotiating and responding to regulatory requests and investigations. During his career, Tom has had the honor of working with and mentoring a number of compliance professionals that now work with broker-dealers and investment advisors across the country.
Tom has a bachelor’s degree in business administration from the University of Nebraska at Omaha majoring in accounting and banking and finance.