Dan Thomas CRCP in

Dan Thomas CRCP

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Compliance Specialist at PAG
📍 San Diego, California, United States

Dan Thomas is a Financial Services Compliance Professional with a CRCP designation, specializing in Broker/Dealer and Investment Advisor compliance. His career includes roles such as Chief Compliance Officer at Independent Financial Group and his current position as a Compliance Specialist at PAG, showcasing his deep industry expertise.

He maintains a keen interest in staying current with global events and business insights, following publications like BBC News and the Harvard Business Review to inform his professional perspective.

Dan actively tracks and shares crucial updates from regulatory bodies, such as the SECs latest FAQs on the Marketing Rule.

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Experience
13 Years
Current Role
Compliance Specialist
Job Level
Junior
Location
San Diego, California, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Dan cares about

SEC Marketing Rule
He frequently shares and analyzes the latest SEC guidance and FAQs related to the new Marketing Rule, indicating a strong focus on advertising compliance for advisers.
Regulatory Oversight
Demonstrates a keen interest in annual reports from regulatory bodies, such as FINRA's 2026 Annual Regulatory Oversight Report, to stay ahead of compliance trends.
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Career

Work history

3-2024
Compliance Specialist
PAG
6-2021 - 9-2023
Chief Compliance Officer
Independent Financial Group, LLC
12-2018 - 6-2021
Director, Compliance
Independent Financial Group, LLC
7-2011 - 4-2018
Senior Analyst, Marketing Regulatory Review
LPL Financial
Director of Operations / CCO
Stonehurst Securities
In the press

Media appearances

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Education
Education details unavailable
The Wharton School
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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