V. Keith Quinton, JD, CPA - Senior Consultant

Mr. Quinton is a senior consultant for SCA, where he provides compliance solutions to the firm’s broker-dealer and investment adviser clients. His industry positions as general counsel, CFO and CCO have provided him with the insight and expertise to provide SCA’s clients with solid practical advice.

Mr. Quinton’s work with SCA includes

• Complete FinOp Services;
• Mock regulatory audits;
• Anti-Money Laundering (AML);
• Supervisory controls reviews;
• Compliance program design; and
• Assistance during regulatory audits.

Mr. Quinton has been engaged in the securities industry for over twenty-five years in the areas of legal, compliance and financial operations:

• He has held the position of Financial and Operations Principal (FinOp) and directed the compliance function for several broker dealers; and
• He has held the position of Chief Financial Officer (CFO) and general counsel for a financial services holding company, where he directed the compliance and financial operations activities for a broker dealer subsidiary.

Education

• University of Oklahoma Juris Doctor with Distinction
• University of Oklahoma Bachelor of Accountancy

Memberships

• Oklahoma Bar Association
• Oklahoma Society of CPAs
• American Institute of CPAs

Licenses Held

• Series 27
• Series 7
• Series 63