Steven Wolken
Chief Compliance Officer - Clearstead Advisors, LLC (formerly Hartland & Co., LLC) at Clearstead
📍 Greater Cleveland, United States
Steven Wolken is the Chief Compliance Officer at Clearstead, where he has worked for over a decade. A seasoned finance professional with extensive experience in investment compliance, he holds both a B. S. in Finance and an MBA from John Carroll University and has passed the Series 65 examination.
He has been quoted as a subject matter expert on developing compliance checklists for mergers and acquisitions.
Read the full overview →Experience
27 Years
Current Role
Chief Compliance Officer - Clearstead Advisors, LLC (formerly Hartland & Co., LLC)
Job Level
Leadership
Location
Greater Cleveland, United States
Personality Overview
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Priorities
Topics Steven cares about
Investment Compliance
As Chief Compliance Officer, he is responsible for overseeing all compliance and regulatory matters for Clearstead Advisors.
M&A Operations
He has provided expert commentary on the key operational areas to integrate during a merger, including technology, finance, and compliance.
Career
Work history
10-2011
Chief Compliance Officer - Clearstead Advisors, LLC (formerly Hartland & Co., LLC)
Clearstead
12-2004 - 9-2011
Director - Investments
Chess Financial Corp
6-1998 - 12-2004
Analyst
Victory Capital Management
In the press
Media appearances
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Education
1994 - 1998
B.S. - Finance
John Carroll University
1994 - 1998
MBA
John Carroll University
Social presence
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