Timothy Friedman

Director of Financial Investigations and Compliance Operations Securities America Inc.

Timothy Friedman serves as the Director of Financial Investigations and Compliance Operations for Securities America, Inc.  Timothy has over 29 years’ experience in the financial services industry, with over 20 years’ experience in Compliance and 15 years’ experience as an AML and OFAC Compliance Officer. He joined Securities America in June 2017, where he is responsible for the development and implementation of Securities America’s Sales Practice Surveillance, Anti-Money Laundering, Customer Identification, Sanctions, Fraud, Privacy and Identity Theft, and Vulnerable Adult Programs, as well as the firm’s Policies and Procedures, Regulation Review, Compliance Training, and Verification Letter programs.   Prior to joining Securities America, Timothy served as the Vice President of AML and OFAC Strategy and Monitoring for the Charles Schwab Corporation and the AML and OFAC Compliance Officer for Charles Schwab and Co., Inc., the Vice President of Enterprise AML for Scottrade Financial Services, Inc. and Chief BSA/AML and OFAC Compliance Officer for Scottrade, Inc. and Scottrade Bank, the AML Compliance Officer for FFP Securities and as the Vice President and Chief Compliance Officer and AML Compliance Officer for Bridge Trading Company. He is a member of the Association of Certified AML Compliance Specialists (ACAMS), a member of the Omaha ACAMS chapter, and is a co-founder and former Co-Chair of the Greater St. Louis ACAMS Chapter.