Vince is a nationally renowned insurance and securities expert. Vince is the CEO and Chief Compliance Officer of LifeMark Securities Corp., an independently owned national broker/dealer and registered investment advisor which he co-founded in 1983.
In 2002 he was awarded the distinguished designation of Certified Compliance and Regulatory Professional CRCP from the FINRA Institute of Professional Development at the Wharton School. He also holds a Certificate in Fiduciary Governance from the Walker Center for Global Entrepreneurship and the professional designation of GFS™ (Global Financial Steward).
As a Chief Compliance Officer since 1983, he written and deployed policies, procedures and training to over 1,500 financial advisors.
He is a prominent lecturer, writer and expert on Fiduciary Standards. Vince created one of the first Best Interest Contracts (BIC’s) as required by the DOL Fiduciary Rule and deployed it in April of this year.
He has provided consulting services to financial institutions, state and federal regulators, attorneys and individuals for over 20 years. He has testified numerous times in FINRA arbitrations, State and Federal courts.
Vince actively supports the development of uniform Fiduciary Standards for the industry. He is a member of the Life Insurance Task Force whose purpose is to compile and publish a set of best practices for the industry and propose they be adopted as a uniform standard as called for in the Dodd-Frank Act.
He is also a member of the IRA Fiduciary Adviser Modules (IFAM) Task Force formed by the American Retirement Association which, in conjunction with Morningstar, is developing online training for advisers affected by the DOL Fiduciary Rule.