Stephen Berkeley
About Stephen Berkeley
Stephen Berkeley is the Chief Compliance Officer and Regulatory Counsel at Loop Capital, with extensive experience in securities regulation and compliance.
Stephen Berkeley: Chief Compliance Officer and Regulatory Counsel
Stephen Berkeley serves as the Chief Compliance Officer and Regulatory Counsel. He plays a pivotal role in ensuring that the company adheres to all regulatory requirements and compliance standards. His responsibilities involve overseeing compliance programs, developing regulatory strategies, and handling legal matters related to financial services. Stephen's background in law and extensive experience in compliance make him an integral part of the organization.
Stephen Berkeley Education and Expertise
Stephen Berkeley holds a Juris Doctor (JD) degree from Chicago-Kent College of Law, demonstrating his proficiency in legal matters. Additionally, he earned a Bachelor's degree from Hamilton College. His academic background provides a strong foundation for his role in regulatory compliance and legal counsel. Stephen's education has equipped him with the necessary skills to navigate complex legal and regulatory landscapes.
Stephen Berkeley Professional Background and Legal Career
Stephen Berkeley started his career as an enforcement attorney with the Securities Division of the Arizona Corporation Commission. He gained valuable experience in regulatory enforcement and compliance. He then spent 9 years in private legal practice, representing broker-dealers and investment advisors in regulatory investigations, arbitrations, and compliance matters. In 2008, Stephen joined Loop Capital, where he continues to contribute his extensive legal and compliance expertise.
Stephen Berkeley Achievements and Licenses
Stephen Berkeley is a licensed attorney in both Illinois and Arizona. He also holds multiple financial licenses, including Series 7, 24, 53, 63, 79, and 87, enhancing his regulatory credentials. Additionally, Stephen serves on the FINRA Midwest Regional Committee, reflecting his ongoing commitment to maintaining high standards in financial regulation and compliance. These roles and certifications underscore his expertise and dedication to the field.