John Ivan

John Ivan collaborates with clients on all aspects of broker-dealer and investment advisor compliance and serves as an Expert Witness. John leverages his experience leading both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues. John served as CCO for Raymond James & Associates, Inc. retail and capital markets broker-dealer, and was head of Compliance for all of Raymond James’ retail and dual registrant businesses including the independent channel. Prior to that, he was Managing Director at Bank of America Merrill Lynch, heading Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC. John also served in senior compliance and legal roles at Goldman Sachs in New York, and at First Union Securities in Richmond, Virginia.