Erick Aguayo
Compliance Manager, IACCP®
As the firm’s Compliance Manager, Erick is responsible for maintaining compliance with the rules and regulations of the Securities and Exchange Commission (SEC) for Merriman and its employees. He is an Investment Adviser Certified Compliance Professional (IACCP®) and holds a Series 65 securities license.
Erick joined the Merriman team in March 2014 after working as a Small Business Banker at JP Morgan Chase, helping clients with their consumer and business banking needs in the Burien area. He obtained his Bachelor’s degree in Economics from Whitman College in 2012. He is originally from Miami, FL and enjoys competitive running in 5ks and 10ks, salsa dancing, traveling, and watching sports.
National Regulatory Services (NRS) owns the Investment Adviser Certified Compliance Professional, (IACCP®) certification marks and program.
External compliance resources:
April 25, 2011: Brochure supplements vary as firms grapple with who to include in them
January 17, 2011: How’s that Form ADV, Part 2 coming?
November 29, 2010: Lack of regulatory guidance won’t stop firms from venturing into social media
October 11, 2010: Compliance pros suggest monitoring for employee use of social media
September 14, 2009: Social networking’s opportunities run headlong into regulatory restraints
Internal compliance resources:
View Merriman’s ADV Part II here.