Andrew Halac is a seasoned financial professional with over nine years of expertise spanning Broker-Dealer, RIA, Investment Banking, and Fixed Income Operations, alongside more than five years in compliance.
A proven leader in managing teams and advancing compliance strategies, Andrew has driven success at prestigious firms such as D.A. Davidson, Raymond James, and Weild & Co. With deep proficiency in navigating regulatory landscapes—working closely with FINRA, SEC, and MSRB—Andrew excels in audits, investigations, and examinations.
Known for enhancing compliance metrics, optimizing operations, and leading firms through transformative industry shifts like T+1 settlement procedures, Andrew’s experience extends across retail, accredited, and institutional client services.
Outside the office, Andrew enjoys family adventures and discovering the natural beauty of Colorado with his wife, Catie, and sons, Cal and Grey.
