Director, Sales Supervision and Audit
Wes is responsible for the compliance aspect of our firm. In his role, he works to provide guidance for best practices by tracking relevant laws and regulations, reviewing our policies and procedures, and most importantly, helping to preserve the integrity of Katz Financial. His work is a key component to supporting our firm's core values of care character and competency.
Wes has held several roles in the financial services industry, providing our firm with a huge foundation and expertise in his role. Wes' previous positions included the titles of trader, trading manager, operations manager, and compliance manager. Wes obtained his Bachelor of Business Administration from the university of North Texas and is Series 7, 63, 66, 24 & 55 licensed. When he is not spending time at the office, he enjoys working out and playing in the band for and at his church.