Chief Compliance Officer
Robert P. Slomin serves as Vice President and Chief Compliance Officer (“CCO”) for Gladstone Institutional Advisory, LLC (“GIA”), a separate entity and registered investment advisor hybrid of LPL Financial. With over 20 years of experience in regulatory and compliance affairs within the financial services industry, Rob most recently served as CCO for Janney Montgomery Scott, where he oversaw the entire regulatory and compliance function of the asset management division of the firm which manages approximately $36 billion in assets, and was also responsible for compliance oversight of Janney’s advisory affiliate, Janney Capital Management. His experience also includes providing perspective on the dually registered firm’s approaches to ethics, risk management, brokerage compliance, best execution and other SEC and FINRA policy making issues. Rob’s previous experience also includes serving as CCO for Summit Equities Inc., a dually registered broker-dealer and investment adviser based in Parsippany, NJ. Early in his career, he held various roles at AXA Advisers and Mellon Securities including Regional Compliance Officer and Compliance Director.
Rob earned a JD from Northwestern California University School of Law, BS from the University of Arizona and Excelsior College, Certificate in Industrial and Labor Relations from Cornell University and FIRNA Series 4, 6, 7, 14, 24, 51, 63, 65, 79, 99 securities registrations and life and health insurance licenses. Rob has over 18 years of registered broker-dealer and investment advisor regulatory and compliance experience. Rob specializes in supporting INC Advisors’ business initiatives, building and developing compliance programs, managing teams and preserving and enhancing reputations with regulatory agencies.
Prior to joining in 2017, Rob served in a number of leadership positions. Rob earned a J.D. from Northwestern California University School of Law, B.S. from the University of Arizona and Excelsior College and a Certificate in Industrial and Labor Relations from Cornell University. He is a member of the Securities Industry Financial Markets Association (SIFMA) Compliance and Legal Society, National Society of Compliance Professionals (NSCP), registered with Thomson Reuters Expert Witness Services and has served on a number of financial industry committees and working groups.