WAYNE, PA — Cipperman Compliance Services (CCS) announced the addition of two senior compliance professionals to the firm’s staff. Frank Ingraham will lead CCS’s broker-dealer compliance outsourcing practice, and Erik Morris will draw on his extensive experience to bolster CCS’s services to wealth and financial planners. CCS continues to add senior professionals to meet the demand for its industry-leading CCO outsourcing service.
Frank Ingraham has nearly 20 years of experience providing broker-dealer compliance services. Most recently, he served as Chief Compliance Officer of Prudential Financial’s registered broker-dealer, PruCo Securities, which included 36 branch offices and 3,200 sales representatives. He also held several other compliance and operations positions during his Prudential career. Mr. Ingraham previously served as Head of Supervision and Business Risk at Guardian Life and Park Avenue Securities and Manager for Securities Compliance at NRECA. Early in his career, Mr. Ingraham worked as a FINRA Investigator. He holds an MBA and B.A. from DeSales University, is a Certified Regulatory and Compliance Professional via the FINRA Institute at Wharton, and holds several securities licenses.
Erik Morris has more than 15 years of compliance and operations experience with retail asset management programs. Prior to joining CCS, Mr. Morris served as Chief Operating Officer and Chief Compliance Officer of Asset Planning Services, Ltd., a substantial wealth management firm in the Philadelphia area. He also spent 11 years at Lockwood Advisors in a series of operations, compliance, risk management and due diligence roles. Mr. Morris holds a B.A. from Lehigh University and a M.S. in Financial Services from Saint Joseph’s University. He is a Six Sigma Green Belt and Investment Adviser Certified Compliance Professional.
“Our clients will continue to have peace of mind in their compliance programs as CCS continues to invest in top-notch talent like Frank and Erik,” said Todd Cipperman, CCS’ Founding Principal. “To achieve our singular goal of providing our clients with a best-in-class CCO outsourcing solution while maintaining our strong growth, we need to attract and retain the best people to serve as CCOs. Both Frank and Erik have the necessary deep regulatory knowledge and significant practical experience required to help our clients protect their reputation and business in an uncertain regulatory environment. ”
Jon Wowak, CCS’s Chief Operating Officer, added “Our ability to attract top-tier professionals proves that we have become a go-to destination for the best and brightest compliance officers. Our hiring goal is to attract those professionals looking for the opportunity to practice with confidence, integrity, and support, on a team of like-minded co-workers dedicated to compliance.”
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