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Triad Advisors appoints chief compliance officer

Scuttlebutt | June 12, 2017

Triad Advisors, an independent broker-dealer, has appointed Bernie Breton as chief compliance officer.

Breton's extensive knowledge and experience in the compliance space are expected to further strengthen Triad's ability to guide its advisors through the current environment of regulatory uncertainty, positioning them to thrive as clients' and regulators' expectations for transparency and alignment between advisors' and clients' interests continue to grow. Breton joined the company effective May 1, reporting directly to President and CEO Jeff Rosenthal.

Breton has amassed a strong track record of leadership and compliance expertise during his nearly 30-year career in the financial services industry and brings a wealth of knowledge to his new role. Prior to joining Triad, he served as chief compliance officer at Cetera Advisors, where he was responsible for overseeing the broker-dealer compliance program. Prior to his time at Cetera, he was chief compliance officer for Carillon Investments for six years. Over the course of his career, he has also held executive positions with the NASD, AXA / The Equitable-Equico Securities and MetLife.