Calton & Associates, Inc. announced the promotion of Christopher (“Chris”) Cokinis to Chief Compliance Officer (CCO) and will retain his title of Senior Vice-President (SVP).
In this role, Chris will be responsible for the compliance oversight function and serve as a liaison for the firm on compliance matters with its regulators, including FINRA, the SEC, and the states. Chris will be based in the firm’s Tampa headquarters, reporting to Randall (“Randy”) Ciccati, Chief Executive Officer. In coming to Calton & Associates, Cokinis was inspired by the firm’s dedication to the independent space and looks forward to working with advisors who share its vision for the future.
“I’ve known Randy for eighteen years, so I just felt at home right away; walking into the office, I felt the culture and the team was strong,” said Cokinis.
Cokinis’s responsibilities include educating, providing advice and guidance, practice standards, suitability, and oversight regarding the activities of Calton and its representatives.
“Joining an executive leadership team with this level of insight is a great experience. Calton is focused on being a partner of choice,” Cokinis continued, “it is a lot of fun to be a part of.”
Chris has 35 years of experience in the securities, investment advisory, and insurance industries in management, operations, compliance, sales, and regulatory. Chris’s background includes 25 years in senior management roles with several full-service broker/dealers and investment advisers, serving two years as President and 23 years as a Chief Compliance Officer. His experience also includes seven years in sales of securities and insurance products and six years as a senior examiner with FINRA.
Chris holds FINRA registrations Series 7, 24, 4, 53, 27, 63, 65, 99 and is life, health, and variable insurance licensed in FL and IL. Chris is a graduate of the FINRA Wharton School holding the Certified Regulatory and Compliance Professional (CRCP), and also the Certified Securities Compliance Professional (CSCP) designation from the National Society of Compliance Professionals (NSCP). Chris is a former arbitrator with the FINRA Board of Arbitrators. Chris served on the FINRA District Business Conduct Committee for District 4 in Kansas City from 10/08 – 11/11 and as District Chair from 4/10 – 11/11. Chris attended the University of Illinois in Champaign, IL, and earned his Bachelor of Science Degree in Finance from Eastern Illinois University.
Chris was born and raised in the Chicago area and is an avid Chicago sports team fan. He has been in beautiful Tampa for almost six years turning in his snow shovel for more time at the golf course. Other interests include travel and fine dining.
For more information on Christopher (“Chris”) Cokinis:
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