Management Team
With over a century of experience, our dedicated team guides you with genuine care and unwavering honesty, creating personalized financial journeys that prioritize your peace of mind and trust.
Leo supports Midland’s compliance and risk functions, bringing over 20 years of experience in SEC and FINRA regulatory environments.
Leo serves as Director – Risk and Compliance for Midland Wealth Management, where he supports the group’s risk oversight and regulatory compliance functions. He brings more than 20 years of experience in SEC and FINRA regulatory environments, with a background spanning investment advisory, broker-dealer, and wealth management firms.
Prior to joining Midland, Leo held senior compliance and risk positions at Charles Schwab, TD Ameritrade, Scottrade, and Wells Fargo Advisors. His experience includes developing supervisory programs, leading internal investigations, managing regulatory communications, and supporting compliance across branch and field operations.
His broad industry background adds perspective to Midland’s compliance approach, particularly in supporting advisor supervision and maintaining alignment with industry best practices. Leo is known for his collaborative approach and sound regulatory judgment. He works closely with leadership to help maintain a strong compliance culture and adapt to the evolving regulatory landscape.
Our team of dedicated professionals are here to support you.
