Steve Fromm

Compliance Supervisor

Steve has over 15 years of experience in the financial services industry, with a diverse background that includes roles on the brokerage desk, internal audit, anti-money laundering (AML), and supervision. This breadth of experience provides him with a strong understanding of both operational and regulatory aspects of the business.

In his role as a Compliance Supervisor, Steve oversees regulatory compliance and supports advisors in adhering to firm policies and industry requirements, with a focus on maintaining high standards of integrity and accountability.

Steve was born and raised in Arizona and earned his B.S. in Economics from Arizona State University, where he met his wife. In 2018, they relocated to St. Augustine, Florida, where they live with their two children.

Outside of work, Steve enjoys spending time with his family, going to the beach, boating, traveling, and attending his children’s activities.

Education & Registrations:
B.S. in Economics, Arizona State University
FINRA Series 6, 7, 24, and 65
Florida Life & Health Insurance License