Mr.Tevis’ career consists of an association, in multiple forms, with the retail financial services industry for over 40 years. This association includes service as an enforcement attorney for the SEC, an executive risk officer for a division of a first tier NYSE firm, and counsel to the Chief Executive Officer of a division of three first tier New York Stock Exchange firms. During his in-house career he undertook total immersion in retail financial service through on the job service and training. In addition, he studied the relevant bodies of knowledge, sat for and passed the required examinations and obtained numerous financial services industry licenses, designations and certifications. Those include FINRA series 3, 7, 8 and 66 licenses, FINRA Certified Regulatory and Compliance Professional certification and the designation of Certified Financial Planner.
During his 30-year in-house career he:
• Supervised compliance/internal investigations, litigation/arbitration, recruitment and regulatory matters.
• Created and implemented a recruit transition system which was widely adopted by competitors and significantly contributed to the development of the Broker Protocol. This system is still viable for non-protocol transitions.
• Created and implemented an interactive supervision training system.
• Taught supervision for 15+ years
• Evaluated and advised on all phases of retail securities activity, including supervision.
• Undertook total immersion in business, obtaining business education, training and certifications.
• Created and implemented a litigation management and cost reduction system.
• Served as Division Legal Officer in charge of risk management for Shearson Lehman Brothers Western Division.
• Distributed periodic observations about the retail financial services industry and retail investing which are compiled in “Observations of an In-House Counsel.”
As a result of his service, training and education, he developed a thorough knowledge of industry rules, regulations, standards and practices, became a trusted adviser to senior management and was called upon to render business judgment as well as legal counsel on thousands of occasions. Mr. Tevis has a bachelor’s degree in economics from the University of Maryland, a JD degree from Vanderbilt University and served his active duty in the United States Marine Corps. He can be contacted at firstname.lastname@example.org or 805-358-4999.