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Timothy Moyer

Chief Compliance Officer

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Responsibilities:

IFP’s compliance analysts supervise the firm’s network of financial advisors and the business they conduct. This includes broker-dealer business through LPL Financial under FINRA’s regulatory authority as well as advisory business through IFP under the SEC’s regulatory authority. This position reports directly to the Chief Compliance Officer (CCO) of the firm and is located at the firm’s home office in Tampa, FL.

Supervisory activities, including but not limited to:

  • E-Mail Review
  • Trade Review
  • Advertising and Marketing Review

Outside Business Activity Review Regulatory Duties:

  • Perform and document various supervisory functions related to the activities of the firm’s Brokers
  • Interact with Home Office Compliance personnel (Advisory and Brokerage)
  • Point of response for Regulatory inquiries
  • Review, respond and document potential customer complaints
  • Participate in Office Audits

Career Before IFP:

Timothy began his career in financial services in 1994.  In 1996 he became a producing branch manager for a southeast regional firm and in 1998 was promoted to regional manager located in their Naples, FL branch office. He later opened his own firm which he sold two years later to a financial services company based out of Philadelphia serving client’s needs as a financial adviser. In addition to working for financial advisory firms and within a bank channel, he served on the senior executive management of a publicly traded company as Chief Compliance Officer (CCO) for a securities firm based in Longwood, Florida and New York, NY, where he oversaw the entire compliance operations for all divisions. Most recently he has worked in the capacities of a Regional Compliance Consultant overseeing their Southeast Region and a Senior Compliance Analyst for one of the largest insurance and financial services companies in the United States.

Education:

Tim attended Villanova University as a Psychology Major.