Chris Williams directs his practice to helping clients with the front end work. He shows Broker-Dealers, Investment Advisors, 3PLs, and entrepreneurs how an ounce of prevention is worth a pound of cure.
Chris initially left the world of financial regulations to help the same people he regulated. With a background including the Chicago Board Options Exchange (CBOE) and Financial Industry Regulatory Authority (FINRA), he understands the demands placed on compliance teams and gears his practice towards providing an outside, in-house role.
Along with financial compliance, Chris helps entrepreneurs and small businesses in drafting and filing all the legal documents necessary to start their business, run their companies, and raise capital from investors. Chris has helped small businesses raise funds and expand their products into markets across the country, as well as, sell their company off to international corporations.
Chris’ goal is to take his clients’ business challenges and find viable solutions.
Chris completed his undergraduate degree in English at Marquette University, Milwaukee. Between undergraduate school and law school, Chris was a competitive sailor, racing in Olympic grade regattas with the goal of reaching the London Olympics. After racing, Chris received his law degree from Loyola University Chicago, School of Law.
- Advisor and Broker-Dealer Compliance
- Policies and Procedures – Anti-Money Laundering, Business Continuity Planning, Know your customer
- Regulatory Compliance – SEC, FINRA, SRO, and Blue Sky
- Regulatory Documentation and Form Filing
- Crowdfunding – Reg A+
Loyola University Chicago School of Law, JD
Marquette University, BA