Our consulting practice is built upon more than four decades of financial industry experience. Our staff members come from previous positions at large institutional managers, dually registered broker-dealers, regulatory enforcement agencies, and law firms. Gordian’s consultants are uniquely positioned to offer experienced insight in order to enhance your current compliance program
Niel has 30 years of professional experience in all areas of the financial services industry, where he has served as the Chief Compliance Officer for Conifer Securities, LLC, Special Investigator for the NASD Department of Enforcement, and Compliance Manager/Interim Director for Wells Fargo Securities, LLC. Niel also worked at Fidelity Investments for ten years where his positions included mutual fund sales representative, fund accountant, brokerage representative, senior trader, and brokerage manager. Niel’s extensive compliance background enables him to provide practical and effective insight on how businesses should handle ongoing regulatory challenges.
He holds his FINRA Series 4, 7, 8, 24, 63 licenses. Niel graduated from Utah State University with a degree in Administrative Systems.
Chief Operating Officer; Director, Broker-Dealer Services
Yulia has extensive expertise in broker dealer and RIA compliance. Prior to joining Gordian Compliance Solutions, Yulia served as a CCO for a dually registered BD/RIA for 9 years and has significant experience working with FINRA and SEC on various regulatory and compliance issues including routine audits, sweeps, targeted examinations and customer complaints.
Yulia holds FINRA Series 7, 63, 24 and 65 licenses. She graduated from Mills College with a degree in Business Economics and a minor in Math.
Chief Financial Officer, Compliance Consultant
Chris has been running a consulting business for clients that focus on his extensive experience in accounting and money management. Along with his accounting expertise Chris has experience in operations, management, and human resources, which allows him to understand and assist with client needs. Chris works with broker dealers to ensure compliance with net capital and other financial requirements and he also assists registered investment advisers with treasury control operations.
Chris holds his FINRA Series 27, 63, 24 and 7 Licenses. He graduated from Weber State University with a degree in Business Administration.
Director, Investment Adviser Services
Patrick provides oversight for Gordian’s investment adviser consulting services, coordinating internal resources and managing compliance schedules for approximately 100 investment adviser clients. Since 2011, he has consulted directly with numerous SEC and state-registered investment advisers to establish compliance programs, conduct mock regulatory exams and risk assessments, manage regulatory filings, perform employee trade surveillance, and review email, websites, and marketing materials. Patrick also serves as the Chief Compliance Officer for an SEC-registered investment adviser.
Patrick graduated from Seattle University with a degree in English and Philosophy.
Senior Compliance Consultant
Heidi has over 15 years of experience in compliance, operations and relationship management within the financial services industry. Prior to joining Gordian she held positions with JPMorgan Private Bank and Deutsche Bank Private Wealth Management in San Francisco and London. She was responsible for compliance and operational oversight including implementation of a new European wide regulatory regime (Markets in Financial Instruments Directive).
Heidi holds FINRA Series 7, 24, 66, 52 and 53 licenses. She graduated from the University of Utah with a double major in History and Anthropology and also holds a Masters of Accountancy from Golden Gate University.
Senior Compliance Consultant
Anne has over 30 years of experience in the securities industry, with particular expertise in investment adviser compliance, operations, and audits. Prior to joining Gordian, Ms. Czizek had been an independent Compliance Consultant to Registered Investment Advisers since 2001. Before consulting, Anne was an Assistant Vice President at Wells Fargo Van Kasper, where she was responsible for retail and investment advisory compliance for the firm. Her career in the securities industry began with Drexel Burnham Lambert in New York City in 1985. Since that time she has worked for registered investment advisors and broker dealers in both retail and institutional capacities.
Senior Compliance Consultant
Heather has over 20 years of experience in compliance, client implementation, and operations within the financial services industry. Most recently she served as the Director of Compliance for Houston based Salient in their San Francisco office and prior to that position was the Chief Compliance Officer for an SEC registered investment adviser in Marin County. Heather holds FINRA Series 7, 63 and 24 licenses. She graduated from the University of California, Los Angeles with a degree in Psychology and a minor in Diversified Liberal Arts
Donna has a long career in the financial industry spanning 35 years in compliance, operations and sales supervision with emphasis on compliance and Regulatory issues. Prior to joining Gordian Compliance Solutions, Donna was the Sales Supervisor for a dually registered BD/RIA for 5 years and before that served as a VP of Brokerage Operations for a regional B/D.
Elizabeth (Liz) has fifteen years of experience in broker dealer operations and regulatory compliance. Through the years she has worked in every aspect of a broker dealer, from licensing to client management with a specialty in systems operations and maintenance. Most recently, she was the operations manager for a dually registered BD/RIA with a nationwide presence.
Liz holds her FINRA Series 7 and 24 licenses.
Dayli has extensive operational, licensing and registration experience for broker/dealers and investment advisers. Prior to joining Gordian, Dayli was a Client Services Specialist with a Fortune 500 company, providing execution, clearing, and advisory services to clients around the world. Prior to that, she spent 16 years working in operations, licensing and registrations, and the compliance department of a nationwide dually registered BD/RIA. Dayli is experienced in customer service and assisting with regulatory audits and examinations.
Dayli holds her FINRA Series 99 license.