Chief Compliance Officer
Jon became Chief Compliance Officer (“CCO”) in 2018 after spending 21 years as the Chief Compliance Officer of Halbert Wealth Management, another SEC registered Investment Advisor located in Austin, TX. As CCO of Legacy One Financial Advisors, Jon is responsible for ensuring the firm stays in compliance with all the applicable regulatory requirements of the Securities and Exchange Commission as well as other relevant regulatory agencies. This includes the ongoing filing requirements, as well as developing, reviewing and supervising the processes and procedures necessary to comply with regulations.
Jon’s other experience includes serving as Vice President and Chief Operating Officer of Sterling Trust Company.
Jon has been in Austin over 20 years and enjoys boating on Lake Travis, working out and practicing yoga in his spare time.