2015 Fall Conference Speaker

Robert Stirling

Robert Stirling

Robert Stirling has worked with National Regulatory Services as a Senior Consultant for much of the past two decades: from October 1991 to June 2000, from May 2002 to June 2004, on a part-time basis staring in December 2007, and returning full-time in August 2008.

Rob has prepared and/or reviewed hundreds of ADVs representing firms of all sizes and engaged in every aspect of investment advisory services. He regularly reviews advertising and marketing materials, including websites, for compliance with SEC guidelines. Rob has also audited dozens of advisory firms and has spoken at numerous compliance conferences and seminars.

During his times away from NRS, Rob was himself a compliance officer. Rob was Chief Compliance Officer of PrivateAccounts, Inc. from July 2000 to October 2000, when Private Accounts, Inc. was purchased by E*TRADE Financial, where Rob worked as a Compliance Manager from November 2000 to May 2002. Rob was Chief Compliance Officer and General Counsel of Eubel Brady & Suttman Asset Management, Inc. of Dayton, Ohio from June 2004 through July 2008.

Rob’s experience as a CCO allows him to bring a practical, real-world approach to addressing compliance matters facing investment advisers of all sizes.

Rob graduated from the American University in 1975 with a Bachelor of Arts in Religion and received a Juris Doctor degree from the University Of Connecticut School Of Law in 1997. Rob has been admitted to the Connecticut bar.

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