Tom Longfellow is Vice President and Deputy Chief Compliance Officer of Equity Services, Inc. (ESI), a National Life Group company. In this role, he is responsible for providing leadership and management to ESI’s Compliance team, manages external examinations by federal, state, and FINRA regulators, and oversees ESI’s broker-dealer and registered investment adviser compliance programs. As a member of ESI’s senior leadership team, Longfellow contributes to ESI’s overall growth and strategic vision.
Since joining the firm in 2006, Longfellow’s previous responsibilities include management of ESI’s licensing and registration department, trade surveillance function, and investment adviser compliance program. Prior to joining ESI, Longfellow served in various positions at First Command Financial Planning, culminating in his role as Chief Compliance Officer of First Command Bank.
Longfellow is a graduate of the United States Military Academy at West Point, NY, from where he received a commission as a Field Artillery officer. He holds FINRA Series 6, 7, 24, 26, 51, and 99 registrations and the Investment Adviser Certified Compliance Professional® designation. Longfellow is a Registered Principal of Equity Services, Inc.