Curtis Christensen is a Senior Consultant for the BD/RIA Practice at Bates Group. He is a seasoned professional with 25+ years of financial services industry (SEC, FINRA, NFA, CFTC) experience with registered investment advisors, broker-dealers, private funds, hedge funds, alternative asset managers and mutual fund advisors.
Prior to joining Bates, Mr. Christensen fulfilled many roles over the years ranging from Chief Compliance Officer, Chief Operating Officer to Chief Financial Officer, responsible for developing programs supporting revenue growth in a compliant manner, consistent with companies’ emphasis on risk management and regulatory adherence.
Curtis is a consultant and subject matter expert in these Practice Areas and Services:
-
Compliance Solutions
- Broker-Dealers
- Registered Investment Advisers
Credentials
EXPERIENCE
Bates Group, Senior Consultant, 2024 – Present
Calibercos Inc., Chief Compliance Officer, 2022 – 2024
Virtua Partners, LLC (Previously Virtua Capital Management, LLC), 2019 - 2022; Chief Operations Officer, 2021 – 2022; Chief Compliance Officer, 2019 – 2022
Longboard Asset Management, LP, Chief Compliance Officer, 2013 – 2019
M.S. Howells & Co. (Broker Dealer), Chief Compliance Officer, 2010 – 2013
MSH Capital Advisors, Chief Financial Officer – Executive Vice President, 2011 – 2013
Bank of America Investment Services, Senior Compliance Manager – Vice President, 2008 – 2009
Countrywide Investment Services, Chief Compliance Officer, 1st Vice President, 2006 – 2009
Zions Direct, Inc., Chief Compliance Officer, Vice President, 2003 – 2006
Ameriprise Financial, 2000 - 2003; Branch Manager – Compliance Supervisor, 2002 – 2003; Director of Business Operations, 2000 – 2002
EDUCATION
Master of Business Administration (MBA), Finance, University of Minnesota
Bachelor of Science (BS), Business Management, Brigham Young University
PROFESSIONAL QUALIFICATIONS
- Certified Regulatory Compliance (CRCP), FINRA Institute at Wharton, PA
- FINRA Series 7, 24, 65, and 66