As Windstar’s UDP (Ultimate Designated Person) and CCO (Chief Compliance Officer), Stephen brings a cautious, attentive approach to keeping the company fully up-to-date and compliant with all regulatory requirements. His bottom line: Ensure all client investments are safe, with minimal risk exposure.
Stephen is driven by a core belief that every client deserves a unique, thoughtful financial strategy that meets their specific needs and goals. His 35+ years of financial industry expertise and leadership fuels his big-picture approach that never overlooks the important details while opening up new financial opportunities.
A graduate of the University of Windsor (Honours Bachelor of Commerce in Accounting & Finance), Stephen has consulted extensively with some of the largest accounting firms in the country (including KPMG and Deloitte Canada) on tax matters, Mergers and Acquisitions, and private equity transactions. Stephen has led large sales teams nationally and is a noted lecturer on sales techniques and compliance for many organizations.
Designations & Certifications —
- Canadian Securities Course (CSC)
— Canadian Securities Institute
- Partners’, Directors’ and SeniorOfficers’ Course (PDO) — Canadian Securities Institute
- Chief Compliance Officer (CCO)
- Ultimate Designated Person (UDP)
Education & Associations —
- Bachelor of Arts in Psychology,York University
- Honours Bachelor of Commercein Accounting & Finance,University of Windsor
- Private Capital Markets Associationof Canada (Member)