Brian Dennen Email Address

Senior Vice President, Operations and FINOP Compliance

Our mission at Wealthfront is pretty simple: we believe that everyone deserves access to sophisticated financial advice. Over the past five years, Wealthfront has built a technology company focused on re-architecting the finance industry

Product driven FinTech executive with over 17 years of experience scaling businesses by applying technology to wealth management. Extensive experience and knowledge in sales, trading operations, investment products, compliance, policy management, financial accounting and regulatory reporting. Comprehensive understanding of regulatory requirements for SEC registered investment advisors and FINRA member broker dealers. Committed to maintaining the highest ethical standards for clients.Specialties: Investment Advisory Representative, Securities Principal, Investment Advisory and Brokerage Compliance, Investment Company Act of 1940, creating compliance procedures and ethics objectives, licensing and registration, resolving client complaints, arbitration matters, New Member Applications (NMA), Continuing Membership Applications (CMA, FINRA Rule 1017), Financial Operations Principal (FINOP - Series 27), regulatory reporting, financial accounting, continuing education and training, supervision and internal controls analysis, Anti-Money Laundering and Customer Identification Programs, social media policy, advertising and sales literature review, investment banking, research and trading, trade allocation, best execution. Committed to maintaining the highest ethical standards for clients. FINRA Series: 4, 7, 24, 27, 63, 65, 99