Neil Wolstenholme is a compliance and financial-services professional with more than a decade of experience in regulatory supervision, advertising review, outside business activities, trade monitoring, AML/KYC, and advisor compliance. He spent nearly a decade with TD Ameritrade, later part of Charles Schwab, where developed extensive experience navigating complex regulatory and supervisory requirements. His career has also included work with LPL, Cetera Financial Group and Northwestern Mutual.

Neil holds a B.S. in Business Administration with an emphasis in Management from San Diego State University with a minor study in English. He is continuing his professional development through SDSU's Project Management Certificate program and is preparing for the PMP certification. His securities background includes the Series 7, 24, and 66.