Scott Solod

Scott Solod

Chief Compliance Officer

 

Scott Solod is Equity Services, Inc.’s Chief Compliance Officer. He was appointed CCO in 2019 after serving as the Firm’s Deputy CCO since Joining ESI in 2016. Scott has overall responsibility for the company’s compliance organization.

Before joining Equity Services, Inc., Scott was Deputy CCO for Santander Securities, LLC, a Supervisory Consultant at Signator Investors Inc. (part of the John Hancock Financial Network), and also was responsible for a number of compliance areas while employed at Commonwealth Financial Network.

In addition to holding a number of FINRA licenses, Scott also graduated from the FINRA Institute at Wharton earning the Certified Regulatory and Compliance Professional (CRCP) designation and is also a Certified Fraud Examiner (CFE). He is a graduate of the Worcester State University and earned a bachelors degree in Business Management.

“Over the past two decades I have had the opportunity to experience Compliance at number of different organizations. While industry rules and regulations are consistent from one firm’s compliance department to another, our primary goal in ESI Compliance is to be your trusted partner. Our team approach to Compliance provides you accessibility, responsiveness, and flexibility. It’s our job to know you and your business so that we can help you navigate the complexities of our industry.”
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