Jonathan Frazier is a senior compliance executive with more than 25 years of leadership experience designing, implementing, and overseeing compliance and regulatory risk management programs within the broker-dealer and registered investment adviser (RIA) industry. Throughout his career, he has partnered with executive leadership, legal counsel, operations, supervision, and business units to develop practical compliance solutions that strengthen governance while enabling business growth.

Jonathan has extensive expertise across SEC, FINRA, and state regulatory frameworks, including supervision, investment adviser regulation, branch oversight, advertising and communications review, regulatory examinations, surveillance, regulatory change management, licensing and registration, written supervisory procedures, compliance testing, and enterprise risk assessment. He is recognized for translating complex regulatory requirements into scalable operational processes that reduce risk without creating unnecessary business friction.

Known for his analytical approach and sound judgment, Jonathan has led numerous strategic compliance initiatives involving policy development, supervisory program enhancement, remediation of regulatory findings, examination management, and cross-functional governance. His leadership philosophy centers on building compliance programs that are proactive, risk-based, and aligned with organizational objectives rather than simply satisfying minimum regulatory requirements.

Throughout his career, Jonathan has earned a reputation for integrity, thoughtful decision-making, and the ability to navigate complex regulatory issues with both technical expertise and practical business perspective. Colleagues and industry peers consistently recognize his collaborative leadership style, strong regulatory knowledge, and ability to identify emerging risks before they become significant organizational issues.

Prior to his current role, he spent nearly two decades in increasingly senior compliance leadership positions supporting large independent broker-dealers and affiliated registered investment advisers, gaining broad experience across enterprise compliance, supervision, and regulatory operations.

He holds FINRA Series 6, 7, 24, 26, 63, and 65 licenses and is widely regarded as a trusted advisor to executive leadership, helping organizations strengthen compliance cultures while maintaining a focus on operational effectiveness, advisor experience, and long-term business success.

Jonathan and his wife, Tabatha, have been married for 27 years. They live in a small Georgia town, are proud parents and grandparents, and enjoy the outdoors—especially hunting, fishing, and golf.