As Vice President of Compliance, Sean is responsible for proving guidance and oversight to the Sales Supervision Unit, the Surveillance Unit and the Dispute Resolution Unit.

Sean joined NPC from Edward D. Jones & Co. where he was a Registered Representative as well as a Limited Partner. With over 9 years of industry experience, Sean specializes in regulatory compliance, risk management and dispute negotiation. Since coming to NPC over four years ago, Sean has been at the forefront of integrating compliance initiatives with new technology involving AML procedures and exception reporting.

Sean holds the Series 7, 24, 53, 63, and an Investment Advisory Representative of NPC's RIA.