Matt Frank, Chief Compliance Officer

Matt Frank leads RPA’s Compliance Department. He is responsible for overseeing the firm’s compliance, including with laws, regulatory requirements, policies, and procedures.

Matt maintains the books and records for RPA’s broker-dealer and RIA, oversees supervision of advisors nationwide, onboards new advisors, reviews and approves client-submitted paperwork, and ensures firm and advisor licensing requirements are met. His primary focus is to establish and uphold policies and procedures that are effective and efficient in identifying, preventing, detecting, and correcting noncompliance matters.

Matt has been a member of the financial services community since 2006. He joined RPA as a Compliance Analyst in 2014. Previously he was employed by Jefferson Bank and Investor Services of Jefferson City, MO.

Matt holds a Bachelor of Science degree in Business Administration from Lincoln University in Jefferson City, MO. He also holds FINRA Series 7, 24, 51, 63, and 65 registrations.

Matt’s background information is available on FINRA’s BrokerCheck.