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| Executive Profiles: Our management team. |
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As Chairman of the Board of ComplianceMAX Financial, Al Monahan provides the strategic vision and leadership for the firm. His extensive industry experience is leveraged to ensure that ComplianceMAX Financial is aligned with the long-term industry trends, while maintaining a focus on today's customers.
Since 1983, Mr. Monahan has been President and CEO of the Monahan Group, a consulting group providing services to broker-dealers, attorneys and syndicators. He has been a member of the NASD Board of Arbitrators since 1983, has served as Vice Chairman (1992-94) and has been a member (1997-98) of the NASD District 2 Business Conduct Committee which handles broker discipline issues. He was also co-founder and past President of the National Association of Independent Broker/Dealers (formerly the California Association of Independent Broker/Dealers). Mr. Monahan has been an expert witness since 1986 and has served as an analyst, consultant and/or expert witness in more than 340 securities and securities-brokerage disputes.
As President and Chairman of Private Ledger Financial Services, Inc., Mr. Monahan directed the growth of this broker-dealer firm from its initial founding to ranking as a national company licensed in all fifty states (1971-1983) At the time, the firm had 250 branch offices and 800 registered representatives dealing in securities, commodities, municipals, real estate and insurance. He entered the securities industry after a twenty eight-year career in the U.S. Navy from which he retired as a Captain in 1970.
Mr. Monahan was educated at the University of Washington (Seattle), and is a graduate of the Armed Forces Staff College, Naval School of Justice, and Postgraduate School of Naval Science. He holds licenses with Keystone Capital Corporation as a General Securities Registered Representative, General Securities Principal, Financial and Operations Principal, and California Securities Agent, and a Certified Financial Planner.
Email Al Monahan at almonahan@compliancemax.com. |
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