History
From March 2007 through June 2018 as a Compliance Consultant with Advisor Solutions Group, Inc. and from June 2018 to present as Founder and Managing Member of Compliance-Minded, LLC, Casey Jones has performed mock audits, created policies & procedures and Form ADV disclosures, assisted with registration functions, created forms and logs, authored informational handouts, assisted with State and SEC regulatory exams, and performed a broad array of additional customized consulting services for Registered Investment Adviser clients, all with thorough attention to detail and follow-through.
FOUNDER, MANAGING MEMBER
Casey Jones
Casey began his career in the securities industry twenty years ago in 1999 as a Registered Representative with Irvine based Finance 500, Inc. After seven years in sales, he transitioned to the compliance side of the business first as an assistant to the CCO of a local boutique broker-dealer and later as consultant to several Southern California broker-dealers through a San Diego-based consulting firm before moving to ASG and focusing solely on RIA compliance. Casey graduated with a liberal studies degree from California State University, Long Beach. He has previously held several securities licenses, including the Series 6, 7, 22, and 24. Casey enjoys music, philately, and spending time with his twins, Oliver & Charlotte.
Education
Liberal Studies (BA) - California State University, Long Beach
Activities & Affiliations
• Southern California Compliance Group, Member
• National Society of Compliance Professionals, Member