The people behind the compliance

David Jaindl Martin

David Jaindl Martin brings a rare blend of technology, sales, and regulatory expertise to Compliers Consulting Services (CCS). As founder of CCS, David has guided numerous investment advisers and broker-dealers through formation, registration, and operational growth. He previously served as CEO of Keystone Capital Corporation—now Coinbase Capital Markets—where he spearheaded the first blockchain-based digital security for Overstock. David is also the current Chief Compliance Officer of Benchmark Investments, Inc., overseeing daily operations, investment banking, and broker-dealer M&A. He holds FINRA Series 7, 24, 66, 79, and 99 licenses and earned the Certified Regulatory Compliance Professional (CRCP) designation from FINRA/Wharton. David was elected to the FINRA District 2 Committee (2016–2018) and served as a FINRA Disciplinary Hearing Panelist. Away from work, David is an avid sailor, golfer, PADI Advanced Certified Diver, and licensed private pilot.

Stacey Lynn Lavender-Mayes

With more than 25 years in securities compliance, Stacey Lavender-Mayes is known for building effective controls and risk-management frameworks. She has held principal roles as Financial Operations Principal, Registered Options Principal, General Securities Principal, and Municipal Securities Principal. Stacey is also a FINRA arbitrator and a U.S. Army veteran. She holds FINRA Series 4, 7, 24, 28, 53, 66, 82, and 99 licenses, along with insurance licenses in Property & Casualty, Life & Health, and Variable Annuities, plus the CAMS anti-money-laundering designation and CRCP certification. Outside the office, Stacey remains active in animal rescue through Project PURR, the nonprofit she founded in 2011.

Ashley J. Webb

Ashley Webb is an accomplished operations and compliance professional with extensive experience in supervisory and principal roles across broker-dealers and registered investment advisers. She currently serves as Director of Operations and Registered Principal at Kingswood U.S., where she oversees firm operations, regulatory compliance, and registration processes, ensuring robust supervisory controls and efficient workflow management. Ashley holds FINRA Series 7, 24, 52, 53, and 66 licenses and has passed the Securities Industry Essentials (SIE) exam. She is registered under CRD# 6609117 and maintains a clean BrokerCheck record with no disciplinary disclosures.

Sara J. Andres

Sara Andres offers over two decades of leadership in compliance, risk management, and financial regulation. She currently serves in supervisory roles with Bosonic Securities and Sequence Financial Specialists while maintaining her Investment Adviser Representative registration with ShareBuilder 401K. Her prior experience includes Chief Compliance Officer roles at Benchmark Investments and DealMaker Securities, and she is founder of Antestari LLC, a consultancy specializing in compliance and expert-witness services. Sara holds multiple FINRA principal licenses — including Series 14, 24, and 53 — plus Series 7, 52, 57, 63, and 65, positioning her as a versatile regulatory strategist and trusted advisor.

William Thatcher

William Thatcher brings decades of trading and supervisory experience to CCS. His career spans leadership roles in broker-dealer compliance and market operations, where he has designed and implemented supervisory procedures for trading desks and retail brokerage platforms. William holds FINRA Series 4, 7, 24, 27, and 63 licenses and has advised firms on regulatory audits, trade surveillance, and risk mitigation strategies.

LeeAnna Glessing

LeeAnna Glessing offers more than 30 years of expertise across insurance and securities operations. She is experienced in supervisory reviews, branch audits, and complex product oversight, with a specialty in integrating insurance products within broker-dealer frameworks. LeeAnna is a Fellow of the Life Management Institute (FLMI) and holds a wide array of FINRA licenses, including Series 7, 24, 63, and 65.

JT Sadler

JT Sadler brings more than two decades of broker-dealer and investment adviser compliance leadership, including principal and executive roles at multiple FINRA-registered firms. He currently serves as CEO of Nortlov Advisory and Nortlov Securities and provides compliance consulting through IBIS Compliance & Financial Services. JT holds FINRA Series 3, 4, 7, 24, 52, 53, 63, and 65 licenses along with the SIE, reflecting broad expertise across general securities, municipal securities, and investment adviser registration.

Diane M. Canepa

Diane Canepa brings extensive experience in brokerage operations and regulatory compliance to the CCS consulting team. Over her career she has supported broker-dealers and investment advisers in implementing strong supervisory controls, aligning operational procedures with regulatory expectations, and streamlining business processes for scalability and efficiency. She holds multiple FINRA credentials, including principal and general industry registrations, and is currently registered under CRD# 2371469. Diane's BrokerCheck record reflects a long history of professional service with no disciplinary disclosures.

Justin Miranda

Justin Miranda specializes in regulatory support and product-compliance oversight, helping firms integrate governance and supervisory processes into new offerings. He has worked with registered financial institutions to maintain robust compliance while enabling business development and client-service goals. Justin is currently studying for the Securities Industry Essentials and Series 7 exams.

Daniel Gehrig

Daniel Gehrig leads business development and client engagement for CCS. With a career spanning financial services strategy and operations, Daniel focuses on scaling solutions that blend regulatory integrity with client growth objectives. His leadership emphasizes collaborative client relationships and efficient execution of complex projects.

Rifton Westby

Rifton Westby is a business development leader focused on growing relationships, driving revenue, and expanding market presence for Compliers and Private Ledger. He currently serves as Director of Business Development, where he leads client acquisition, partnership strategy, and business growth initiatives — bridging compliance, fintech, and advisory markets.

Prior to joining Compliers / Private Ledger, Rifton developed strong experience in financial services and capital markets with a focus on serving independent broker-dealers (IBDs), registered investment adviser channels, and wealth platforms. He has built alliances, designed programs to enhance product distribution, and worked to align financial firms' go-to-market efforts with regulatory best practices and operational realities.

Rifton holds a degree from Ithaca College. He is known for his ability to communicate complex regulatory or compliance topics in business-friendly terms, helping clients understand value, manage risk, and move forward quickly.

Lisa Roth

Lisa Roth is President of Monahan & Roth, LLC and a nationally recognized expert in securities-industry compliance. She has served in executive roles at Tessera Capital Partners, Keystone Capital, and First Affiliated (now First Allied) Securities, and founded ComplianceMAX Financial Corp., pioneering audit and workflow technologies now used by leading broker-dealers and advisers. Lisa holds FINRA Series 4, 7, 24, 53, 65, and 99 licenses, is a FINRA National Arbitration and Mediation Committee member, and has served as Chair of FINRA's Small Firm Advisory Board. Outside the workplace, Lisa competes in endurance cycling and rowing events.

Stephen C. Cortright

Stephen Cortright is a fintech and advisory product executive with extensive experience building, scaling, and operating technology-enabled financial services platforms. In his most recent leadership role as Head of Advisory Products at DriveWealth, he has overseen the development, launch, and optimization of advisory platforms — balancing innovation, regulatory compliance, and client experience.

Earlier in his career, Stephen worked in senior product & operations roles across e-commerce financial services and wealth management technology. He has been responsible for managing technology teams, integrating third-party vendor systems, defining product roadmaps, setting operational metrics, and ensuring that regulatory and risk frameworks are embedded within product design. His work has also included consulting engagements advising firms on product strategy, market entry, and operational scaling.

Walter Peczon

Walter Peczon has extensive experience managing broker-dealer operations and compliance programs for both independent and wirehouse firms. His background includes overseeing clearing relationships, trading desk supervision, and regulatory examinations. Walter holds FINRA Series 4, 7, 24, and 63 licenses and is known for practical solutions that balance business growth with rigorous compliance.